Proven - Pima County

PMO Team

Nancy Cole, Architect, PMO Manager

Joanne Homer, PE, Program Manager

Sandi J. Garrick, Project Manager

Arthur Gibbs, Project Coordinator

Curt Rice, Project Coordinator

25%

46%

25%

4%

Ahead: 25%

0‐6 M: 46%

6‐12 M: 25%

12+ M: 4%

54%34%

4%8%

Under: 54%

0‐20%: 34%

20‐30%: 4%

30%+: 8%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

0 5 10 15 20 25

Soft Cost Percentage

Areas of Expertise Outcomes

Planning & Development Define and develop the project that the community wants and needs

Project Management Deliver the scope, on time and on budget

Team Project Management Cooperative teamwork using the right resource at the right time.

Contract Management Oversight and reporting for projects managed by outside jurisdictions

Intangibles Best management practices and process improvement

Proven ResultsThe PMO is building a résumé of successfully delivered projects using best management practices.

Efficient‐Delivery The office has two full‐time project managers and two full‐time field coordinators who work on as many as 20 active projects with 10 more projects in closeout or planning stages. The PMO delivers a yearly average expenditure of $10 million, similar in size to some departments’ entire annual capital program. The delivered projects range from $20,000 to $15 million with an average project budget of $1.5 million.

Effective‐Delivery Twenty‐four completed projects were reviewed for conformance to original charters or project definition, if initiated prior to the project manual process inception. Of these, 88 percent of the projects met or exceeded budget performance goals, and 71 percent met or exceeded schedule performance goals. Of the 24 completed projects, four had soft cost percentages above the target of 35 percent; most started before the soft cost goal initiation. The highest percentages were on redesigned projects. The average soft cost percentage was 24.4 percent, well under the performance goal.

Purpose Public Works Administration developed the Project Management Office (PMO) as a group wholly focused on project delivery. The PMO provides an opportunity to resource balance and cross‐train among capital departments while focusing solely on project management.

Innovative Vision Pima County’s Project Management Office expects all projects will be successful.

A successful project starts with project definition— understanding the challenges clearly. Charter development and project owner/stakeholder input are critical steps, ensuring not only scope identification but other areas of impact, such as lifecycle costs, permit requirements, code impact, cultural or environmental concerns, engineering efficiencies and construction delivery type. Project delivery must focus on scope, schedule and budget, defining parameters for all three and monitoring progress throughout the process. Some projects may have an area with no room for change—whether a critical delivery date or a limited funding source. Correctly understanding which risks are likely to occur and where flexibility exists in the program results in a successful project.

The following report highlights the PMO’s philosophy, work ethic, and the benefits it provides to Pima County.

Original Schedule Performance Original Budget Performance

Project Management Office Update

Soft Cost % for Completed Projects

Avg35%

Tanque Verde Road: Catalina Highway to Houghton RoadThe project included the widening of 1.67 miles of the existing two‐lane Tanque Verde Road, including four travel lanes with a curbed median, paved shoulder, outside curbs, storm drains, roadway landscaping, public art and pedestrian facilities. This project benefitted from significant coordination with the Community Advisory Committee regarding public art, commercial property access and landscaping. This is particularly evident in the location of the Safeway Center’s main access onto Tanque Verde which currently aligns with the small shopping center on the south side of the road. This solved many local concerns with a creative and cooperative approach not previously considered. Tanque Verde Road was originally designed as a part of the 1997 HURF Bond Program and underfunded in 2001 when the project was shelved for future development. When taken by the PMO in 2007, the project charter developed estimated project costs at $16 million with construction scheduled from January 2010 to July 2011. The final project cost was $14 million and was substantially completed in October 2011. In addition to saving $2 million in total project costs, the construction contract had five change orders totaling $278,000, significantly less than typical projects. Tanque Verde Road also served as a learning tool for project management countywide. This project brought to light issues with the implementation of the Roadway Design Manual with respect to overall soft costs. Review of this project has brought positive changes to the way projects are delivered. Another outcome of this process was the Regional Transportation Authority’s adoption of the Pima County Charter as a tool to improve project delivery regionally.

Example Projects Pantano River Park: Michael Perry to KenyonThe project included installation of 2.2 miles of divided urban path on the east side of the Pantano Wash from Michael Perry Park north to Kenyon Road. This project included underpasses at 22

nd Street and Golf Links. Work at Michael Perry Park included parking improvements, a main plaza for the Memorial Tree Park, and a Children’s Memorial garden. The project is physically within the City of Tucson and required high‐level design coordination with the Tucson Parks and Recreation Department. The design was complete but significantly over budget when assigned to the PMO. The project was streamlined, and construction costs came in below project budget, allowing delivery of another underpass further north at Speedway, extending the path another half‐mile south to Sellarole Road. The construction bid received by the PMO was $1 million below the engineer’s estimate for base bid. This allowed all three alternates to be included within the construction contract. The project was completed $500,000 below the base bid estimate.

Project Management Summary This work effort reviews projects run directly by the PMO. These projects require extensive effort and understanding of good project management principles. Many of the projects delivered by the PMO are considered complex, and may be either new or older projects with issues requiring resolution. The PMO works toward meeting all project management benchmarks, focusing on scope, schedule and budget.

Schedule | +0-6 M Budget | Under Budget

Schedule | +0-6 M Budget | Under Budget

Project Examples: Canoa Preserve BAJA Softball Complex The award‐winning Canoa Preserve Green Valley Community Park is the first public park in Green Valley. Installation included two senior‐sized softball fields with fencing, parking, entry drive, and ADA access to the fields. Continuous value engineering and private fundraising efforts resulted in building the base scope of two senior softball fields plus a ramada and storage unit for a project value of $1,095,000 at a cost of only $327,000 of County funds. This facility, which includes new water and electrical services, was constructed and ready for use in just three months. Similar park facilities normally take six to eight months to construct.

Canoa Preserve Park was planned and coordinated with NRPR as lead. With a five‐month deadline for operation, the PMO teamed with NRPR to value engineer and streamline construction. This project received both local‐ and state‐level awards this year from the APWA Arizona Chapter, in addition to rave reviews from the BAJA Sporting Club players.

Santa Cruz Interceptor Phase III The award‐winning Santa Cruz Interceptor, Prince to Franklin, included installation of more than a mile of large diameter (+60”) pipe along a narrow, fully developed corridor on the Santa Cruz River. The original design drawings were completed in 2006 but did not adequately address a myriad of challenges, such as NPPO and river park coordination, right‐of‐way access/easements, 404 permitting, ADOT permitting, ADEQ permitting, etc. The PMO worked with RWRD to resolve these issues with a permitted, bid‐ready package by 2009. The bids were $1 million (10%) below the estimate with RWRD taking the project lead during construction. Construction issues were limited to unforeseen boring conditions (hard rock), substantially different from earlier phases. This additional cost fit well within the current project budget of $15 million, a reduction from the original $20 million during design.

Summary This effort involves projects affecting multiple departments and/or jurisdictions. These team‐managed projects include a hand off at key departmental or jurisdictional milestones to best utilize County staff. This approach allows support from the PMO when resources are most needed. This is one way to resource balance across Pima County.

Team Project Management

Schedule | Ahead of Schedule Budget | +0-20% (scope increased to add fencing)

Schedule | N/A Budget | Under Budget

Project Planning: Northside Community

The PMO worked with NRPR to ensure the next project phase is designed to allow continued use of racing facilities while adding three new soccer fields. This solution shows a balanced, practical approach that benefits multiple users.

Contract Management

Schedule | Ahead of Schedule Budget | Under Budget

Planning & Development

Summary The PMO’s contract management efforts focus on projects managed by an external entity or jurisdiction. These require outreach and coordination with the lead team and have the same reporting requirements as any internally managed projects. Some projects may have grant funding, requiring assistance to ensure compliance with state and local procurement policies, as well as federal grant requirements. Good coordination is required to budget the funding properly and work with the jurisdiction for timely reimbursement.

Project Example: Joint Projects with the Town of SahuaritaHaving already established communication lines with the Town of Sahuarita for the $1,495,000 Sahuarita Road Bike Lane Improvements project, the PMO successfully negotiated the salvaging of bridge girders for the new Sahuarita Road bridge in a short timeframe to avoid monsoon rains in the Santa Cruz River. This project salvaged 30 concrete box beams, 70 feet in length, for future re‐use in pedestrian bridges along The Loop. Fifteen of these beams were incorporated in the design of another PMO‐managed project within 60 days of salvage, confirming it is possible to “Go Green” and save taxpayer money simultaneously. This effort required coordination with the RTA as a funding partner, further stretching local dollars.

SummaryPlanning & Development skills are critical to project definition and a key to delivering project with appropriate solutions to challenges. Understanding the site constraints, scoping projects to budget and projecting reasonable delivery timeframes result in successful delivery of a project plan that meets the various stakeholder goals.

The Project Manual Process Working with the CIP Advisory Council is one way to continue process improvement. The PMO has been instrumental in the development of the Project Management Manual, Charters, and the Exit Gate system. These are the best management practices for project delivery and, if fully used by project managers, give the best foundation for successful project delivery. Much of the information in this report has been developed by using an initial Charter for project definition and comparing this initial plan to the final outcome. The PMO demonstrates that using these tools to their potential increases understanding of projects and communication of issues, resulting in finding the best solution for projects.

Team Program Development: The LoopThe PMO has been a key delivery partner in the completion of 100+ paved miles of multi‐use path along, and connecting to, the Julian Wash, Rillito River, Pantano River and Santa Cruz River Parks. The projects typically led by the PMO are smaller extents packaged for a fast‐tracked (“short”) design‐build using the JOC approach. Using the existing river park standard details and specifications, the projects concentrate design efforts on engineering issues, not alignment or landscaping. This reduces upfront costs and reserves additional engineering time for the field installation. These projects are bid to pre‐qualified contractors, resulting in quicker completion times with the team’s proven ability to construct river parks. This delivery method is also applicable to other types of small projects using grants. These projects are often a challenge; users find the path the minute grading starts and begin accessing the paths during construction activities. Some projects were installed purposefully keeping the paths open on weekends, requiring extra time and effort. Many river parks include drainage installations. The goal is to keep water off of the paths, routing it safely around or under the area, and reducing long‐term maintenance costs.

Financial System: Developed for Capital Projects Metrics The PMO spent significant time working with the PimaCore team to replicate previous project reporting systems, transfer data correctly, and create new reporting tools in the new financial accounting system development. These efforts also included development of training documents and support to resolve ongoing issues within the system. Providing these services from the Public Works Department helped to focus on the workload and lessened the direct burden on individual departments. The PMO allocated Nancy Cole, one of the two full‐time project staff, to PimaCore, in addition to fulfilling her regular project management duties. Nancy Cole was recognized for her efforts through the Southern Arizona APWA Award of Merit for Public Works Professionals in January 2012.

Intangibles Summary The PMO works directly with Public Works Administration (PWA) to support County‐wide goals and initiatives relating to Pima County’s Capital Improvement Program. From a measurement perspective, these intangible goals are not necessarily related directly to project delivery. This measurement includes reporting, metrics, or benchmarking required by PWA to evaluate the capital program. The ultimate goal of any metric applied is to increase performance, both within the PMO and all project delivery departments. The PMO also helps develop streamlined processes and best practices, often through the CIP Advisory Council, an internal forum of departmental CIP representatives.

Schedule | +6-12 M Budget | +30%(scope increased to separate path from road)

Schedule | +0-6M Budget | On Budget

Robles Ranch Community Development GrantThe PMO worked with the local Picture Rocks Community, Community Services, and NRPR to deliver three different block grants. Some of the grant money was awarded several years prior, resulting in a long overdue project. Grouping the projects allowed for economy of scale with construction of a lit basketball court, shaded playground, picnic ramada, water fountain, and associated ADA walks and landscaping. This project transformed the existing community center from a barren area to a fabulous functional recreational space.

Done PROJ ID Project Name Project Value Budget

Performance

Schedule Performance

(Days)

Soft Cost Performance

Other Y XAMAD2 Amado Food Bank Phase 2 CDBG 2008 $338,000 22% 314 26.2%

Y XAMDHC Amado ‐ UC Health Clinic CDBG 2010 $138,000 9% 88 20.2%

Y XPATHS Pathway Maintenance Program $1,010,000 ‐1% 60 18.0%

Y XPLAYS Playground Maintenance Program $106,000 ‐10% (3) 4.0%

Y *CDBG Ellie Towne Basketball & Misc. CDBG 2008 $68,000 ‐9% N/A 13.2%

Y *CDBG Picture Rocks Playground Upgrades CDBG 2008 $66,000

Y *CDBG High Chaparral Water System CDBG 2013 $14,000

Y *CDBG Picture Rocks Storage System CDBG 2013 $5,000

N *CDBG Casa Community HVAC CDBG 2012 $18,000

N *CDBG Arivaca Basketball Lighting CDBG 2013 $29,000

N *CDBG Emerge HVAC & Fire Sprinkler CDBG 2013 $25,000

N *CDBG Our Family Services Landscaping CDBG 2013 $7,000

N *CDBG Dunbar Remedial Work CDBG 2013 $32,000

N *CDBG SAAF Window Upgrades CDBG 2013 $6,000

subtotal $1,862,000 Parks & Recreation Y PATH10 Multi‐use Paths along I‐10 Frontage Road $485,000 32% 179 23.6%

Y PHA1RR PR4.33 Harrison Greenway at Rita Ranch $640,000 ‐9% 363 14.1%

Y PHA3IP PR4.33 Harrison Greenway: Irvington to Pantano $830,000 44% 251 21.6%

Y PMEHPK PR4.25 Mehl‐Foothills Park $1,775,000 ‐11% (27) 36.5%

Y PPANTP 4.37 Pantano River Park: 22nd to Michael Perry Park $4,132,000 ‐13% 165 25.1%

Y PPANT2 4.37 Pantano River Park: Michael Perry to Sellarole $610,000 14% 418 35.8%

Y PRP511 P‐51 Lawrence Park Infrastructure Improvements $635,000 0% (161) 31.2%

Y PRLCCD PR4.20 Lawrence Park Softball Lighting* $300,000

Y PSHRNG PR4.19 Southeast Regional Park/Shooting Range** $3,086,000 46.5%

Y PSPNET Sports Park Netting $97,500 ‐21% (40) 7.9%

Y XETHAN Rillito Trailhead at Ethan's Crossing $230,000 15% 21 7.2%

Y PCDRRB Robles Ranch Basketball/Playground (CDBG) $253,000 0% 28 6.0%

Y CPGVCP Canoa Preserve Green Valley Community Park $487,000 6% (345) 12.5%

N PRP361 Santa Cruz River Park: Irvington to Valencia $930,000

N PAN5TH Pantano Riverpath: Infill Speedway to 5th Street $819,000

N PCCPRK Catalina Community Park $1,000,000

N PNCMPK Northside Community Park $5,500,000

N PSCOMP South East (SE) Community Park—Esmond Station $6,000,000

subtotal $27,809,500 Transportation Y 4INCRI Canoa Road Interchange $5,880,000 ‐6% 14 24.5%

Y 4TVCHH DOT‐31 Tanque Verde Road: Catalina to Houghton $14,150,000 ‐9% 96 81.6%

Y 4CCMIL Country Club: Drexel to Milber,Tucson to Country Club $1,167,000 ‐1% 189 24.6%

Y 4DREXL Drexel: Country Club to I‐10 $1,024,000 2% 219 27.4%

Y 4JWK2W Julian Wash: Kolbe Road to Wilmot Road $575,000 ‐10% 49 15.6%

Y 4JWV2D Julian Wash: Valencia Road to Drexel Road $678,000 ‐15% 66 40.0%

Y 4JWW2V Julian Wash: Wilmot Road to Valencia Road $609,000 ‐14% (16) 26.5%

Y 4TDCAV Tucson Diversion Channel: Country Club to Aviation $438,000 ‐2% 177 5.6%

N 4HA2DM Harrison Greenway at DMAFB $850,000

N 4JLEST Julian Wash: I‐10 to Campbell EAST $718,000

N 4JLMID Julian Wash: I‐10 to Campbell MIDDLE $1,507,000

N 4JLRMP Julian Wash: I‐10 to Campbell RAMPS $2,184,000

N 4JLWST Julian Wash: I‐10 to Campbell WEST $752,000

N 4RRVPA Rillito Riverpath: CDLT Bicycle and Pedestrian Bridge $905,000

N 4JWPK6 Julian Wash Greenway (AJO): Park to 6th Ave $1,000,000

subtotal $32,437,000 Wastewater Y 3MVW01 Mission View Wash—Southeast Interceptor $7,007,000 16% 193 20.9%

Y 3ULP12 Ina Security Road—Widening phase** $620,000

Y 3SCP04 Santa Cruz Interceptor, Phase 3*** $11,727,000

N 3ULP14 Ina Security Road—Bypass Route $205,000

subtotal $19,559,000

Completed Project Value $47,453,500 Total Project Value $143,776,000

Project Management Office Projects List – Ongoing projects shown in italics not yet measured

*PRLCCD delivered as a joint project with PRP511 **Projects delivered with multi-phases, metrics unavailable ***Project team delivered, metrics unavailable

Color Key Budget Schedule Soft Cost Under Ahead 0-20% 0-6 M <35% 20-30% 6-12 M +30% +12 M >35%

PIMA COUNTY PROJECT MANAGEMENT AND

GATE PROCESS MANUAL

January 30, 2009 Document Revision Date: August 2, 2013

Ally Miller, District 1 Ramón Valadez, District 2 Sharon Bronson, District 3 Raymond Carroll, District 4

Richard Elías, District 5

C.H. Huckelberry County Administrator

TABLE OF CONTENTS

County Administrative Procedure 3-28 PART I THE PROJECT MANAGEMENT PROCESS

Quick Reference Guide Mapping Methodology

Phase I Project Charter & Project Setup

Phase II Project Development

Phase III Design

Phase IV Construction

Phase V Close Out

Change Management

PART II THE GATE PROCESS Introduction & Concept

Objectives for Each Gate

Guidance for Preparing and Conducting a

Gate Meeting

PART III SYMBOLS, DEFINITIONS & ACRONYMS PART IV EXHIBITS

ADMINISTRATIVE PROCEDURES

Procedure Number: 3-28

Effective Date: 07/01/2009 Revision Date: 01/31/2012

c. SUBJECT:

IMPLEMENT A TON OF THE PROJECT MANAGEMENT MANUAL AND EXIT GATE PROCESS

DEPARTMENT RESPONSIBLE: THE OFFICE OF THE COUNTY ADMINISTRATOR

1. STATEMENT

The Pima County Capital Improvement Program (CIP) is inclusive of all bond projects and any projects $100,000 or greater that will create or increase the life of Pima County's capital asset. An important part of a successful CIP is to establish a standard process that enables County projects to be developed and competed on time and within specification and budget. County departments are required to successfully manage the delivery of their bond and non-bond projects. The Project Management Manual contains comprehensive instructions designed to assist in the departments' project management efforts by establishing a countywide, uniformed approach to a successful CIP using a specific process. Exit Gate. The Exit Gate Process is a six-phased approach to successful project delivery. It is an effective way to assure that all stakeholder departments participate in the project development process at a time when their input is needed. This approach to effective project management also assures that all criteria are met before moving forward to the next phase of a project and avoids costly downstream project changes.

2. PROCEDURE

All County departments will deliver Pima County capital improvement projects using Pima County's Project Management Manual and Exit Gate Process. A complete copy of this manual, which provides step-by-step instructions and necessary documents to complete the process, can be found on the Capital Improvement Program's intranet website at http://www.pima.gov/cip/pmprocess/pmprocess.html.

3. DEPARTMENTAL RESPONSIBILITY

All County departments are responsible for following the established procedures to successfully manage, develop, and deliver Pima County's CIP projects. This procedure does not apply to vertical construction managed by the Pima County Facilities Management Department (PCFM) or to the acquisition, development or implementation of software managed by, or coordinated with, the Pima County Information Technology Department (lTD). Both PCFM and lTD are required to successfully manage the delivery of bond and non-bond projects and may, at their option, elect to participate in the Exit Gate process for a particular project from time to time.

Pima County Project Management & Gate Process Manual Document Revision Date: 08/02/13

PIMA COUNTY PROJECT MANAGEMENT AND GATE PROCESS MANUAL

PART I: THE PROJECT MANAGEMENT PROCESS



QUICK REFERENCE GUIDE

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL QUICK REFERENCE GUIDE

Pima County Project Management & Gate Process Manual Document Revision Date: 08/02/13 1 of 2

COUNTY ADMINISTRATIVE PROCEDURE 3-28 This County administrative procedure describes the authority by which our Pima County Project Management and Gate Process Manual is required for use in the delivery of capital improvement projects. HISTORY Our Project Management and Gate Process Manual (our Manual) is a “living document” developed around certain principles:

We seek to provide best-in-class capital improvement project delivery

Constant, constructive communication and collaboration among project stakeholders is a must for successful capital improvement project delivery

Each step and tool used in our Manual must add value to capital improvement project delivery

Application of lessons learned as a result of the ongoing delivery of capital improvement projects is our source for continual streamlining and strengthening of our Manual

The choice of the project management approach detailed in our Project Management and Gate Process Manual was not mandated to departments but rather, after consideration of alternatives, was selected by mutual agreement among representatives from all County departments responsible for capital improvement project delivery. STRUCTURE OF OUR PROJECT MANAGEMENT MANUAL AND GATE PROCESS There are four parts to our Project Management and Gate Process Manual:

Part I includes the process maps showing steps in capital improvement project management. Not all projects require completion of all steps. However, some steps, such as conducting stakeholders meetings prior to development of the Project Charter, are required of all projects. The decision to make some steps required is based on lessons that have been learned during ongoing project delivery. The lessons learned indicate these required steps are essential to successful project outcomes.

Part II describes the gate meeting process. Not all projects are required to go through all gates. However, based on lessons that have been learned during ongoing project delivery, gate meetings provide an excellent forum for elevating issues for reconciliation between stakeholders and upper management so that a project can move forward. Therefore, although a gate meeting may not be required, a project team may choose to hold more than the required number of gate meetings.

Part III provides an explanation for symbols used in process maps as well as provides definitions of terms used in our Manual.

Part IV includes exhibits referenced in the process maps (e.g., forms and guidance). INTERRELATIONSHIP BETWEEN PROJECT MANAGEMENT AND GATE PROCESSES The following diagram shows the interrelationship between the project management phases mapped in Part I and the gate process detailed in Part II of our Manual.

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL QUICK REFERENCE GUIDE




MAPPING METHODOLOGY

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL MAPPING METHODOLOGY


The methodology used to create the process maps in the Project Management Manual is summarized below.

1. A process map shows in graphical form the flow of a “process” from beginning to end.

2. Process maps are useful in improving efficiency, reducing costs, setting standards, creating consistency, establishing needs and expectations, and managing information.

3. The action of creating a process map assists an organization by engaging people in a way that

improves communication, develops a common foundation, and enhances awareness of a process.

4. All process maps consist of four major fundamentals – Inputs, Tasks, Decisions, and Outputs.

5. Inputs appear to the left of a task and can be documents, reports, emails, etc. The process map shows what the input is, how it is created, and by whom.

6. Tasks appear in the center of the map. Each task is briefly described, includes an action word

(verb), and shows responsibility.

7. Decisions have two exit paths. The main flow exits to the bottom and the text will include a question mark.

8. Outputs appear to the right of the task and can also be documents, reports, emails, etc. The

process map shows what the output is, how it is delivered, and where it goes.

Ref: 08/02/13

Rev: PR - DProject Management

Page 1 of 52© Copyright 2006 Business Enterprise Mapping Inc. www.businessmapping.com

Owner: PC Public Works

Stakeholder List

Stakeholder List

Refer to Exhibits Section of

this Manual for Guidance

Create

Stakeholder List PP/

PM

External

Identification

of Need

Internal

Identification

of Need

PHASE I

PROJECT CHARTER &

PROJECT SETUP

Draft OverviewDevelop Draft

Overview PP/

PM

Phase I

Project Charter & Project Setup

Prepare

Description of

Need PLM/

DM

Yes

AA

Assign Project

Planner or Project

Manager PLM/

DM

Description of Need

Refer to Exhibits Section of this

Manual for Form and Guidance

Note: Format includes location map

AB

Description of

Need

Submit Description

of Need PLM/

DM

Description of

Need

AA

Approved? AANo

Approved

Description of

Need

Polygon for GIS

All location maps in any

document or meeting

agenda/minutes must

show a polygon for the

potential area of

disturbance for the project.

As project progresses,

polygon changes must be

noted.

Schedule

Stakeholder

Meeting PP/

PM

Stakeholder Meeting

THIS IS NOT OPTIONAL

Responsibilities

* AA - Approval Authority

* AT - Analysis Team

* BOS - Board of Supervisors

* CM - Construction Manager

* CMT - Construction Management Team

* CON - Contractor

* Cx - Commissioning Agent

* DES - Designer/Consultant

* DIR - Department Director

* DIST - Distribution List

* DM - Division Manager

* DST - Design Team

* GF - Gate Facilitator

* GIS - IT Department GIS

* FIN - Finance

* PC - Project Controls

* PLM - Planning Manager

* PM - Project Manager

* PP - Project Planner

* PRT - Partnering Team

* PT - Project Team

* PWA - Public Works Administration

* RVW - Reviewer

* STK - Stakeholders

* VEN - Vendors

KEY

Ref: 08/02/13



Owner: PC Public WorksPhase I


AB

AC

Hold Phase I

Stakeholder

Meeting PP/

PM

Stakeholders

Draft Overview

Agenda

Date

Stakeholder Meeting

Distribute Agenda & Draft Overview to

stakeholders at least 1 week prior to meeting

Phase I

Stakeholder

Meeting MinutesAgenda/Minutes



Note: Same form is used for

agenda as well as

meeting minutes

Communication with

Stakeholders

Depending on the results of

stakeholder meeting, additional

communication with some

stakeholders may be useful as

the Project Charter is being

drafted by the PP/PM

Describe

Alternatives PP/

PM

Alternatives

Distribute Draft

Overview PP/

PM

Update Overview,

if Needed PP/

PM

OverviewAB1

Phase I

Stakeholder

Meeting Minutes

Project Charter Elements



Note: Project Charter Elements

correspond to major headings

in Table of Contents of a

Project Charter

Distribute Phase I

Stakeholder

Meeting Minutes

Initiate

Development of

Project Charter

Elements

Stakeholders

PP/

PM

PP/

PM

Specify

Stakeholder Roles

& Responsibilities PP/

PM

Stakeholder Review

Stakeholders have up to 2

business days to return

comments on Phase I

Stakeholder Meeting Minutes

to PP/PM

Stakeholders

Stakeholder Meeting


Ref: 08/02/13




Project Delivery Methods

Design/Bid/Build

Construction Management at Risk

Design/Build

Design/Build/Own/Operate

Job Order Contract

Alternative Project Delivery Method (APDM)

If an APDM is chosen, the Director must submit

a memo to Procurement requesting

establishment of an APDM contract with

justification (See BOS Policy D29-1 for detailed

instructions).

Identify Major

Tasks &

Milestones PP/

PM

Major Tasks &

Milestones

Propose Project

Delivery Method PP/

PM

Proposed Delivery

Method &

Justification

AC

AD

Analyze

Assumptions,

Constraints, Risks

& Benefits

Alternatives

AnalysisPP/

PM

Make

Recommendation PP/

PM

Recommendation

Discuss

Alternatives

Analysis PP/

PMAA

Choose Single

Alternative to

Continue PP/

PM

Choose Single Alternative

If this step is required, include the following

sentence at the beginning of the

Recommendation Section:

In order to set up this project, Alternative __

has been chosen as the preliminary basis for

the Project Charter Scope, Cost Model, and

MS Project Schedule. If another alternative

is selected as the result of completing a

Concept Analysis, per Phase II Project

Development of this Manual, the Project

Charter, Cost Model, and MS Project

Schedule will be amended.

Prepare

Preliminary

Financial

AssessmentPP/

PM

Preliminary

Financial

Assessment

AA

Phase I


Study Multiple

Alternatives

Further?

Yes

AC1

AC1

No

Ref: 08/02/13




Finalize Project

Charter, Cost

Model & Schedule PP/

PM

Submit Draft

Project Charter,

Cost Model &

SchedulePLM/

DMAA

AD

Project Charter

Draft Project

Charter

Phase I


Revisions

Needed?

No

Yes

AE

AB1

Prepare Draft

Project Charter PP/

PM

Project Charter

Elements

Draft Project

Charter

Circulate Draft

Project Charter,

Cost Model &

SchedulePP/

PM

Stakeholders

Revisions

Needed?AB1Yes

No

Prepare Draft Cost

Model

Prepare Draft MS

Project Schedule

PP/

PM

PP/

PM

Draft Cost Model

Draft MS Project

Schedule

Draft Cost Model

Draft MS Project

Schedule

Cost Model

MS Project

Schedule

Stakeholder Review


business days to return comments

on Draft Project Charter, Draft

Cost Model and/or Draft MS

Project Schedule to PP/PM

Cost Model & MS Project

Schedule Templates

Most recent templates can be

located via links on the Project

Management Office (PMO)

Intranet site.

Ref: 08/02/13




AE

Phase I


Approved

without

conditions?

AG1

No

Yes

Calendar Gate

Meeting PP/

PM

Distribute Gate

Deliverables PP/

PM

Conditional

Approval

Date

Date

Gate Meeting

Calendar 2 weeks prior to Gate Meeting

Gate Deliverables

Distribute Gate Deliverables at

least 1 week prior to gate meeting

Gate 1-1 Deliverables

1) Project Charter

2) Meeting Agenda

3) Gate Approval Form

4) Maintenance Worksheet (CAS Form)

5) Cost Model

6) MS Project Schedule

7) Phase I Stakeholder Meeting

Minutes

8) Other Materials as Requested

Gate 1-1

Required?

Yes

Qualifying Criteria for Gates


Manual for Guidelines

Obtain AA

approval and

signatures PLM/

DM

No AF1

Conduct Gate 1-1PP/

PM

Gate 1-1 Meeting

Minutes

AF

Gate 1-1 Entry

AG2 Denied

Gate 1-1

Deliverables

Agenda/Minutes




agenda as well as

meeting minutes

AA

Polygon for GIS

The polygon of the potential area of disturbance

for the project must be shown on the location map

attached to the agenda and must match the

polygon as shown in the Project Charter

Ref: 08/02/13




AF

Prioritize Project

AA

Project Setup

FIN

Submit Project

Charter for Setup PP/

PM

AMS Advantage

Project Tracking Report

Refer to Exhibits Section of

this Manual for Form and

Guidance

FIN GF


Typically used when project is

anticipated to be transferred to

another department for delivery.

Department may choose to use

this for other reasons.

BA

PHASE II

PROJECT DEVELOPMENT

Phase I


AF1

Initiate Project

Tracking Report

If Used PP/

PM

Project Tracking

Report

If Used

Via Footprints

Project Setup

Documents

Documents Required for Project Setup

1) Signed Project Charter

2) Gate 1-1 Meeting Minutes, If Applicable

3) Signed Gate 1-1 Approval Form, If Applicable

4) Maintenance Worksheet (CAS Form)

5) Cost Model

6) MS Project Schedule

7) Phase I Stakeholder Meeting Minutes

8) Project Tracking Report, If Used


NOTE 1: These must be in pdf format

NOTE 2: Data on Maintenance Worksheet

Must Match Data in Signed

Project Charter, Cost Model and MS

Project Schedule

NOTE 3: Location Map in Project Charter Must

Show Polygon for the Potential Area

of Disturbance for the Project.

Approved Project

Charter

Initiate Gate Data

FIN

GIS

Initiate Maximo

Data

FIN

MaximoPM

AMS Advantage

Planning & Budgeting

Ref: 08/02/13




AG1

Phase I


Conditional Approval

Complete

Conditions of

Approval PP/

PM

Submit

Documentation of

Completion PP/

PMGF

Obtain Approval

SignaturesGF PWA

Return Signed

DocumentsGF

PP/

PM

AF1

Project Charter

Gate 1-1 Approval

Form

Ref: 08/02/13




AA

May be

reconsidered at

a later date?

File Cabinet or

Electronic Folder

DiscardPLM/

DM

Yes

No

Phase I


Determine

Project StatusAA

Project Status

The sponsoring department should

make a determination whether the

project is still active, on hold, or

canceled because of a significant

change in policy, scope, schedule

or budget, etc.

Denied

Restart

Process?Yes

No

AG2

Ref: 08/02/13




BA

PHASE II

PROJECT DEVELOPMENT

Confirm

Alternatives for

Concept Analysis PP/

PM

Phase II

Project Development

Confirm, Assign,

Project Planner or

Project Manager PLM/

DM

Project Tracking

Report

Phase II Project Development

This phase is used only if the

Project Charter recommended the

need for further analysis of

multiple alternatives. Otherwise,

proceed to Phase III Design.

If Used

Multiple

Alternatives

Still Under

Analysis?

CA PHASE III

DESIGNNo

Yes

Procure Outside

Consultant PLM/

DM

Pima County Procurement

Requisition

BB

In-House

Concept

Analysis?

Assign In-House

Analyst PLM/

DM

Yes

No

Approved Project

Charter

AA

Scope of Work

Ref: 08/02/13




BB

Phase II

Project Development

Schedule

Stakeholder

Meeting PP/

PM

Hold Phase II

Stakeholder

Meeting PP/

PM

Stakeholders

Agenda

Date

Stakeholder Meeting

Distribute Agenda & Project Setup Documents

to stakeholders at least 1 week prior to meeting

Phase II

Stakeholder

Meeting Minutes

Communication with

Stakeholders

Depending on the results of

stakeholder meeting, additional

communication with some

stakeholders may be useful as

Concept Analysis is being drafted.

Distribute Project

Setup Documents PP/

PM

BC

Proceed with

Concept AnalysisAT

Concept Analysis

Examples of concept analysis

reports are:

- Master Plan

- Location Study

- Route Study

- Schematic Design

- Watershed Study

- Alternatives Analysis

Distribute Phase II

Stakeholder

Meeting Minutes

Stakeholders

PP/

PM

Phase II

Stakeholder

Meeting Minutes

Stakeholder Review


business days to return

comments on Phase II

Stakeholder Meeting minutes

to PP/PM

Stakeholder Meeting


Agenda/Minutes




agenda as well as

meeting minutes

Project Setup

Documents

Ref: 08/02/13




BC

Recommend

AlternativeAT

Recommendation

Discuss Concept

Analysis

Alternatives PP/

PMAA

Phase II

Project Development

Prepare Draft


PM

Draft Concept

Analysis

Circulate Draft


PM

Stakeholders

Revisions

Needed?BC1Yes

No

Stakeholder Review

Stakeholders have up to 2 business

days to return comments on Draft

Concept Analysis to PP/PM

BC1

Date

Project Progress Meeting

Team should meet a minimum

of once a month to discuss Risk

Assessments, Schedule

Modifications, Project Budget,

Project Scope & Critical Path

Issues

Recommendation

BD

Schedule &

Conduct Project

Progress Meetings PP/

PM

Progress Meeting

MinutesAgenda

Agenda/Minutes




agenda as well as

meeting minutes

Ref: 08/02/13




No

BD

Submit Draft

Concept Analysis PLM/

DMAA

Revisions

Needed?

Phase II

Project Development

Draft Concept

Analysis

BC1Yes

Revise

Recommendation

in Project Charter PP/

PM

Amended

Recommendation

BD1

Review/Revise

Proposed Project

Delivery Method PP/

PM

Amended Delivery

Method &

Justification

Review/Revise

Major Tasks &

Milestones PP/

PM

Amended Major

Tasks &

Milestones

BE

Concept Analysis

Project Charter

Finalize Concept

Analysis With

Recommended

AlternativePP/

PM

Change in

Alternative?BG1

Concept Analysis

Yes

No

Change in Alternative

If alternative recommended in

Concept Analysis differs in

scope, schedule, and/or cost

from alternative chosen in

Project Charter as the

preliminary basis for scope,

schedule and cost, the Project

Charter, Cost Model and/or MS

Project Schedule must be

amended.

Project Delivery Methods

Design/Bid/Build

Construction Management at Risk

Design/Build

Design/Build/Own/Operate

Job Order Contract

Alternative Project Delivery Method (APDM)

If an APDM is chosen, the Director must submit

a memo to Procurement requesting

establishment of an APDM contract with

justification (See BOS Policy D29-1 for detailed

instructions).

Ref: 08/02/13




Review/Revise

Preliminary

Financial

AssessmentPP/

PM

Amended

Financial

Assessment

BE

Prepare Draft

Amended Project

Charter PP/

PM

Project Charter

Elements

Draft Amended

Project Charter

Prepare Draft

Amended Cost

Model

Prepare Draft

Amended MS

Project Schedule

PP/

PM

PP/

PM

Draft Amended

Cost Model

Draft Amended

MS Project

Schedule

Amended

BF

Phase II

Project Development

Ref: 08/02/13




BF

Stakeholder Review

Stakeholders have up to 2 business days

to return comments on Draft Amended

Project Charter, Cost Model, and/or MS

Schedule to PP/PM

Circulate Draft

Amended Project

Charter, Cost

Model & SchedulePP/

PM

Stakeholders

Revisions

Needed?BD1Yes

No

BG

Phase II

Project Development

Submit Amended

Project Charter,

Cost Model & MS

Project SchedulePLM/

DMAA

Draft Amended

Project Charter

Finalize Amended

Project Charter,

Cost Model & MS

Project SchedulePP/

PM

Amended Project

Charter

Revisions

Needed?

No

Yes BD1

Amended MS

Project Schedule

Amended Cost

Model

Draft Amended

MS Project

Schedule

Draft Amended

Cost Model

Ref: 08/02/13



Owner: PC Public WorksPhase II

Project Development

BG

Obtain AA

approval and

signatures PLM/

DM

Gate 2-1 Project Development

Calendar Gate

Meeting PP/

PM

Distribute Gate

Deliverables PP/

PM

Date

Gate Meeting


Gate Deliverables



Conduct Gate 2-1PP/

PM

Gate 2-1 Meeting

Minutes

Date

BH

Approved

without

conditions?

BI1

No

Yes

Conditional

Approval

BI1 Denied

BG1

Gate 2-1

Deliverables

Agenda/Minutes




agenda as well as

meeting minutes

AA

Gate 2-1 Deliverables:

1) Approved Project Charter or Amended

Project Charter, Whichever Is Applicable

2) Meeting Agenda


4) Concept Analysis

5) Gate 1-1 Cost Model or Amended

Cost Model, Whichever Is

Applicable

6) Gate 1-1 MS Project Schedule or

Amended MS Project Schedule,

Whichever

Is Applicable

7) Phase II Stakeholder Meeting Minutes


Polygon for GIS

The polygon of the potential area of disturbance

for the project must be shown on the location map

attached to the agenda and must match the

polygon as shown in the Amended Project Charter

Polygon for GIS

Be sure to answer the question on the agenda

form indicating if the polygon has changed. If

the potential area of disturbance for the project

has changed, the location map attached to the

agenda should show the revised area of

disturbance.

Ref: 08/02/13




BH

CA

PHASE III

DESIGN

Attach Project

Materials PP/

PM

Phase II

Project Development

Materials to Attach in AMS Advantage


1) Signed Amended Project Charter, If Applicable

2) Signed Gate 2-1 Approval Form

3) Gate 2-1 Meeting Minutes

4) Concept Analysis

5) Amended Cost Model, If Applicable

6) Amended MS Project Schedule, If Applicable

7) Phase II Stakeholder Meeting Minutes

8) Updated Project Tracking Report, If Used


NOTE: Location Map in Amended Project Charter

Must Show Polygon for the Potential Area

of Disturbance for the Project.

Update Project

Tracking Report

If Used PP/

PM

Project Tracking

Report

BH1

Update Gate Data

GF AMS Planning & Budget

Amended Project

Charter

If Used

Verify Project

PriorityAA

If Polygon Has

Changed, Notify

ITD GIS PP/

PM

Via Footprints

GIS

Amended Project

Charter

AMS Advantage


Ref: 08/02/13




BI1

Phase II

Project Development


Complete

Conditions of

Approval PP/

PM

Submit

Documentation of

Completion PP/

PMGF

Obtain Approval

SignaturesGF PWA

Return Signed

DocumentsGF

PP/

PM

BH1

Project Charter

Gate 2-1 Approval

Form

Ref: 08/02/13



Owner: PC Public WorksPhase II

Project Development

BI2

Project Status

The sponsoring department should make

a determination whether the project is still

active, on hold, or canceled because of a

significant change in policy, scope,

schedule or budget, etc.

AA

May be

reconsidered at

a later date?

File Cabinet or

Electronic Folder

DiscardPLM/

DM

Yes

No

Determine

Project StatusAA

Denied

Restart

Process?Yes

No

Ref: 08/02/13




CA

Confirm Project

ManagerDM

Identify Project

TeamPM

CB

PHASE III

DESIGN

Phase III

Design

Determine &

Assign Reviewer

Resources DM

Reviewer Resources

At times the Department

Director will determine what

reviewer resources are

available

Review Process

The design review process used in

this Manual is a two-step participatory

review. Step 1 is commonly referred

to as an “Over-the-Shoulder Review.”

Step 2 is a “Milestone Workshop.”


Manual for Guidance.

Procure Designer

DM


Requisition

Confirm Project

Stakeholders with

Project Team

List of

Stakeholders

Scope of Work

PM

Procure Designer

Procurement of designer is

dependent on delivery

method chosen and should

include Post-Design

Services

Stakeholders

Stakeholders include, but are

not limited to – Other County

Departments, Other

Jurisdictions, the Public, &

Utility Companies

(Refer to Exhibits Section of

this Manual for Guidelines)

DIR

Ref: 08/02/13




CB

CC

Schedule Design

Field Review &

Kick-off Meetings PM

List of Invitees

Conduct Design

Field Review

Meeting

Aerial Maps

Field Review with

Partnering Team

Partnering Principles

Follow the Partnering process

when conducting the Kick-Off

Meeting (Refer to Exhibits Section

of this Manual for Guidance)

Conduct Design

Kick-Off MeetingPRT

Kick-Off Meeting

Minutes

Confirm Issues & Risks

* Cultural Resources

* Environmental (Biological,

Air Quality, etc.)

* Drainage

* IGAs

* Noise

* Funding Availability

* Constructability/Staging/Access

* Community Relations

* Public Art

* Permits

* Real Property

* Safety

* Sustainability

* Traffic

* Survey Control

* Utilities

* Others as Identified in

Project Charter Review Scope,

Schedule, &

Budget PM

Phase III

Design

Field Review

Minutes

Kick-Off Meeting

Minutes

PM

Partnering

Principles

Field Review

Minutes

Project Charter,

Schedule & Cost

Model

Agenda/Minutes




agenda as well as

meeting minutes

PRT

Partnering Team Review

Partnering Team members

have up to 2 business days

to return comments on Kick-

Off Meeting Minutes to PM

Project Tracking

Report

(If Used)

Agenda

Agenda

Design Kick-Off Meeting

Confirm Issues, Risks, and

Roles/Responsibilities

Ref: 08/02/13




CC

CD

Budget/

Schedule

Change?

Yes

No

CMP1

CHANGE MANAGEMENT

PROCESS

Phase III

Design

Reviewer’s Hours

Schedule

Determine # of

Review HoursPM

Schedule of

Milestone

Workshops

Schedule

Milestone

Workshops PM

Date

Milestone Workshops

Number of Milestone

Workshops is dependent on the

department requirements as

well as the size and/or

complexity of the project (Refer

to Exhibits Section of this

Manual for Guidance)

Budget/Schedule Changes

The project should be

checked periodically to

determine if there are any

budget/schedule changes

Return from

Change

Management

Process

Partnering Team

Partnering Team should

continually look for ways to

improve the process through

methods such as Value

Engineering

Ref: 08/02/13




CD

15% Plan Stage

CE

Develop

Preliminary

Reports/15%

Plans DES PM

Phase III

Design

Hold Over-the-

Shoulder Review

Meetings PM

Comments

Reviewing

Departments

Over-the-Shoulder

Review Meeting

Minutes

Document Meeting

ResultsPM

Comments

Continue Design

with Guidance/

Comments from

Reviewers PT

Note

Project Managers should

regularly schedule progress

meetings every 2-4 weeks

with the “Project

Management Team” to

discuss issues in order to be

proactive rather than reactive

Date

Preliminary

Reports/Plans

Preliminary

Reports/Plans

Meeting Minutes

Minutes should include

reviewer comments.

15% Plan Stage

15% Plan Stage

Reviewing Departments

* Cultural Resources

* Development Services

* Environmental Quality

* Other Agencies

* Other Jurisdictions

* Parks & Recreation

* Procurement

* Real Property

* Regional Flood Control District

* Regional Wastewater Reclamation

* Transportation

* Utility Companies

* Others Specific to Project

15% Plan Stage

RVW

Reviewers

Have up to 2 business days to return comments on

Over-the-Shoulder Review Meeting Minutes to PM

Communication with Reviewers

Depending on the results of the Over-the-Shoulder

Review meeting, additional communication with some

reviewers may be useful as submittal package for the

Milestone Workshop is being prepared

Agenda

Agenda/Minutes




agenda as well as

meeting minutes

Ref: 08/02/13




CE

CF

Budget/Scope/

Schedule

Change?

Yes CMP1

CHANGE MANAGEMENT

PROCESS

Review Project

with Approval

Authority AA

Phase III

Design

Prepare Submittal

for Milestone

Workshop PM

Submittal Package

Milestone

Workshop Meeting

Minutes

Document

Milestone

Workshop Results PM

Comments

Conduct Milestone

WorkshopDES

Submittal Package

Preliminary

Reports/Plans

Return from

Change

Management

Process

No

15% Plan Stage

15% Plan Stage

RVW

Reviewers

Have up to 2 business days

to return comments on

Milestone Workshop

Meeting Minutes to PM

Agenda/Minutes




agenda as well as

meeting minutes

Reviewing

Departments

15% Plan Stage

15% Plan Stage

Comments

Agenda

PM

Submittal Package

Submittal package must

include an updated MS

Project Schedule and an

updated Cost Model

Attach Project

MaterialsPM



1) Milestone Workshop Minutes

(15% Plan Stage)

2) Updated Cost Model

3) Updated MS Project Schedule

AMS Advantage


Ref: 08/02/13




Develop 30% Plan

and ReportsDES

Preliminary

Reports/PlansPM

Yes

15% Plan Stage

30% Plan Stage

CG

CF

Phase III

Design

Hold Over-the-

Shoulder Review

Meetings PM

Preliminary

Reports & Plans

Reviewing

Departments

Over-the-Shoulder

Review Meeting

Minutes

Document Meeting

ResultsPM

Comments

Project Status

The sponsoring department should make a

determination whether the project is still active, on

hold, or canceled because of a significant change

in policy, scope, schedule or budget, etc. Proceed to

30% Plan

Stage?

Determine

Project StatusNo

30% Plan Stage

30% Plan Stage

Continue Design

with Guidance/

Comments from

Reviewers PT

30% Plan Stage

30% Plan Stage

This phase follows the same

review process as the 15%

phase, but in more detail

30% Plan Stage Recommended

Requirements

* 30% Plans, Specs & Estimate

* Biological Report

* Capacity Reports

* Geotechnical Report

* Commissioning Plan

* Cultural Resources Inventory

* Phase 1 Environmental Report

* Flow Management Plan

* Formal Value Engineering Review

* Hydrology Report

* Native Plant Survey

* Legal Descriptions/Depictions

* Right of Entry

* Ground Disturbing

* Non-Ground Disturbing

* Right of Way Plans/Parcel Table

* Condemnation Resolution

* Survey

* Sustainability Issues

* Utilities Relocation Plan

(Other Documents Per

Department Requirements)

RVW

Reviewers

Have up to 2 business days to return

comments on Over-the-Shoulder Review


AA

Agenda






Date

Note

Project Managers should regularly schedule

progress meetings every 2-4 weeks with the

“Project Management Team” to discuss issues in

order to be proactive rather than reactive

Ref: 08/02/13




CG

CH

Phase III

Design

Budget/Scope/

Schedule

Change?

Yes CMP1

CHANGE MANAGEMENT

PROCESS

Review Project

with Approval

Authority AA

Prepare Submittal

for Milestone

Workshop PM

Submittal Package

Milestone

Workshop Meeting

Minutes

Document

Milestone

Workshop Results PM

Comments

Conduct Milestone

WorkshopDES

Submittal Package

Preliminary

Reports/Plans

Return from

Change

Management

Process

No

30% Plan Stage

30% Plan Stage

RVW

Reviewers



Milestone Workshop


Agenda/Minutes




agenda as well as

meeting minutes

Reviewing

Departments

30% Plan Stage

30% Plan Stage

Comments

Agenda

PM

Yes

Project Status




in policy, scope, schedule or budget, etc.

Proceed to

60% Plan

Stage?

Determine

Project StatusNo

Submittal Package




updated Cost Model

Attach Project

MaterialsPM




(30% Plan Stage)



AMS Advantage


Ref: 08/02/13




CH

Calendar Gate

MeetingPM

Distribute Gate

DeliverablesPM

Date

Date

Gate Meeting


Gate Deliverables




1) Meeting Agenda






Gate 3-1

Required?

Yes

No CH4

Conduct Gate 3-1

PM

Gate 3-1 Meeting

Minutes

CI

Gate 3-1 30% Design

Polygon for GIS


form indicating if the polygon has changed. If the

potential area of disturbance for the project has

changed, the location map attached to the


disturbance. If gate is not required, be sure to

include location map with updated polygon to

materials attached in AMS Advantage.

Agenda/Minutes




agenda as well as

meeting minutes

Approved

without

conditions?

CH1

No

Yes

Conditional

Approval

CH2 Denied

Attach Project

MaterialsPM

Materials to Attach in AMS

Advantage Planning & Budgeting

1) Signed Gate 3-1 Approval Form,

If Applicable

2) Gate 3-1 Meeting Minutes,

If Applicable

3) Updated Cost Model, If Applicable

4) Updated MS Project Schedule,

If Applicable



Note: If no gate is required, attach

location map with updated polygon

if potential area of disturbance has

changed.

Update Gate Data

GF

Phase III

Design

Gate 3-1

Deliverables

Update Project

Tracking Report

If used PM

Project Tracking

ReportCH4

If Used

CH3

AMS Advantage


AMS Advantage


Ref: 08/02/13



Owner: PC Public WorksPhase III

Design

CH1


Complete

Conditions of

Approval PM

Submit

Documentation of

Completion PM GF

Obtain Approval

SignaturesGF PWA

Return Signed

DocumentsGF PM

CH3

Gate Approval

Form

If at Gate 3-1,

Return To

If at Gate 3-2,

Return ToCN1

Ref: 08/02/13




Design

CH2

Project Status

The sponsoring department should make

a determination whether the project is still

active, on hold, or canceled because of a

significant change in policy, scope,

schedule or budget, etc.

AA

May be

reconsidered at

a later date?

File Cabinet or

Electronic Folder

Discard

DM

Yes

No

Determine

Project StatusAA

Denied

Restart

Process?Yes

No

Ref: 08/02/13




CI

30% Plan Stage

60% Plan Stage

CJ

60% Plan Stage

This phase follows the same

review process as the 30%

phase, but in more detail

Phase III

Design

Date


Requirements

* Biological Assessment &

Mitigation

* Cultural Resources Mitigation

* Engineer’s Estimate

* Environmental Hazard

Mitigation

* Final Hydrology Report

* Final Utility Relocation

Agreement

* Final Utility Schedule

Commitment

* Formal Constructability Review

* Native Plant Preservation Plan

* Special Provisions (Draft)


* SWPPP

* Utility Relocation Plan

* Verify Capacity Reports

Develop 60% Plan

and ReportsDES

Preliminary

Reports/PlansPM

Hold Over-the-

Shoulder Review

Meetings PM

Preliminary

Reports & Plans

Reviewing

Departments

Over-the-Shoulder

Review Meeting

Minutes

Document Meeting

ResultsPM

Comments

60% Plan Stage

60% Plan Stage

Continue Design

with Guidance/

Comments from

Reviewers

60% Plan Stage

RVW

Reviewers




Agenda






Note

Project Managers should

regularly schedule progress

meetings every 2-4 weeks

with the “Project Management

Team” to discuss issues in

order to be proactive rather

than reactive

PT

Ref: 08/02/13




Design

CJ

CK

Budget/Scope/

Schedule

Change?

Yes CMP1

CHANGE MANAGEMENT

PROCESS

Review Project

with Approval

Authority AA

Prepare Submittal

for Milestone

Workshop PM

Submittal Package

Milestone

Workshop Meeting

Minutes

Document

Milestone

Workshop Results PM

Comments

Conduct Milestone

WorkshopDES

Submittal Package

Preliminary

Reports/Plans

Return from

Change

Management

Process

No

60% Plan Stage

60% Plan Stage

RVW

Reviewers



Milestone Workshop


Agenda/Minutes




agenda as well as

meeting minutes

Reviewing

Departments

60% Plan Stage

60% Plan Stage

Comments

Agenda

PM

Submittal Package




updated Cost Model

Attach Project

MaterialsPMMaterials to Attach in AMS Advantage



(60% Plan Stage)



AMS Advantage


Ref: 08/02/13




CK

CL

Yes90% Plan Stage

Verify and Finalize

PermitsPM DES

Permits

* Construction

* Development Services

* Environmental

* Regional Flood Control District

* Regional Waste Reclamation

* Tucson Water

90% Plan Stage

This phase follows the same process as the 60% phase

but tasks must be completed at this stage. Construction

documents are prepared in this stage & quality control is

performed. Everything must be in order at the end of

this phase for submittal to Procurement.

Phase III

Design

60% Plan Stage

Project Status




in policy, scope, schedule or budget, etc. Proceed to

90% Plan

Stage?

Determine

Project StatusNo

AA

Develop 90% Plan

and Reports

Final Draft

Reports/PlansPM

Hold Over-the-

Shoulder Review

Meetings PM

Final Reports &

Plans

Reviewing

Departments

Over-the-Shoulder

Review Meeting

Minutes

Document Meeting

ResultsPM

Comments

90% Plan Stage

RVW

Reviewers




Agenda






Date

Note

Project Managers should regularly

schedule progress meetings every

2-4 weeks with the “Project

Management Team” to discuss

issues in order to be proactive

rather than reactive

DES


Requirements

* Biological Assessment & Mitigation

* Cultural Resources Mitigation

* Engineer’s Estimate

* Environmental Hazard Mitigation

* Final Hydrology Report

* Land Acquisition Line List

* Native Plant Preservation Plan

* Special Provisions


* SWPPP

* Utility Relocation Plan

* Verify Capacity ReportsContinue Design

with Guidance/

Comments from

Reviewers PT

Ref: 08/02/13




Design

CL

CM

Budget/Scope/

Schedule

Change?

Yes CMP1

CHANGE MANAGEMENT

PROCESS

Review Project

with Approval

Authority AA

Prepare Submittal

for Milestone

Workshop PM

Submittal Package

Milestone

Workshop Meeting

Minutes

Document

Milestone

Workshop Results PM

Comments

Conduct Milestone

WorkshopDES

Submittal Package

Preliminary

Reports/Plans

Return from

Change

Management

Process

No

90% Plan Stage

90% Plan Stage

RVW

Reviewers



Milestone Workshop


Agenda/Minutes




agenda as well as

meeting minutes

Reviewing

Departments

90% Plan Stage

90% Plan Stage

Comments

Agenda

PM

Submittal Package




updated Cost Model

Attach Project

MaterialsPMMaterials to Attach in AMS Advantage



(90% Plan Stage)



AMS Advantage


Ref: 08/02/13




CM

CN

Yes

Review & Finalize

Design DetailsDST PM

100% Plan Stage

Requirements

* 100% Plan Set

* Special Provisions

* Technical Specifications

* Final Engineer’s Estimate

Phase III

Design

90% Plan Stage

Project Status




in policy, scope, schedule or budget, etc.

Proceed to

100% Plan

Stage?

Determine

Project StatusNo

AA

100% Plan Stage

Prepare 100%

Documents for

Permits and Bids DES PMAdditional Documents

* 404 Permit

* Cross Sections

* Cultural Resources Monitoring Plan

* Development Services Permits

* Environmental Reports

* Geotechnical Report

* Owner Provided Permits

* Right of Way Clearance

* Structural Calculations

* Sustainability Report

* Utility Permits/Relocation Plans

Solicitation

Documents

Additional

Documents

Final Milestone

Workshop Meeting

Minutes

Document Final

Milestone

Workshop Results

Comments

Conduct Final

Milestone

Workshop DES

RVWReviewers


comments on Milestone Workshop


Comments

Agenda

Attach Project

MaterialsPM




(100% Plan Stage)



Additional &

Solicitation

Documents

PM

Budget/Scope/

Schedule

Change?

Yes CMP1

CHANGE MANAGEMENT

PROCESS

Review Project

with Approval

Authority

Return from

Change

Management

Process

No

PM AA

AMS Advantage


Ref: 08/02/13




Design

CN

Date

Date

Gate Meeting


Gate Deliverables




1) Meeting Agenda






CO

Agenda/Minutes




agenda as well as

meeting minutes




If Applicable


If Applicable

3) Updated Cost Model, If Applicable

4) Updated MS Project Schedule,

If Applicable



Note: If no gate is required, attach

location map with final polygon

Calendar Gate

MeetingPM

Distribute Gate

DeliverablesPM

Gate 3-2

Required?

Yes

No CN2

Conduct Gate 3-2

PM

Gate 3-2 Meeting

Minutes

Gate 3-2 100% Plans,

Specifications &Estimate

Approved

without

conditions?

CH1

No

Yes

Conditional

Approval

CH2 Denied

Attach Project

MaterialsPM

Update Gate Data

GF

Gate 3-2

Deliverables

Update Project

Tracking Report

If used PM

Project Tracking

Report

CN1

If Used

CN2

Polygon for GIS


form indicating if the polygon has changed. If the

potential area of disturbance for the project has

changed, the location map attached to the


disturbance. If gate is not required, be sure to

include location map with updated polygon to

materials attached in AMS Advantage.

AMS Advantage


AMS Advantage


Ref: 08/02/13




CO

DA

Forward

Documents to

Procurement PM


Requisition

Solicitation

Documents

Notes

Procurement should work with

the Project Manager on a

timeline after receiving the

requisition.

Award Contract

BOS

Authorization to

Proceed

PM

Construction

Contract

eCONTRACTS


Recommendation

for Award

Deliverable

100% Plans,

Specifications &

Estimate

Award Contract

If the Awarded

Construction Contract is

under $250,000, the

decision to award the

contract falls to the

Procurement Director.

PHASE IV

CONSTRUCTION

Phase III

Design

100% Design

Plans

Forward Final

PolygonPM

DST

Final Polygon

Via Footprints

GIS

Ref: 08/02/13




Conduct PM/CM

Transition

Meeting PM

Pre-Construction

MeetingCMT STKCON

Establish

Construction Start

Date CMT

Submit

Construction

Schedule CON

DB

Partnering Meeting

A possible Partnering Meeting could be

called before or after the Pre-

Construction meeting (Refer to Exhibits

Section of this Manual for Guidance)


PM/CM Transition

Meeting Minutes

eContracts

Scope

Construction

Contract

Documents

Contractor

SubmittalsCON

Construction

Schedule

CM CMTPM

CON

CMT

Construction Management Team

The Construction Management

Team is comprised of in-house

personnel and/or hired consultants

and are required to enforce the

terms of the construction contracts.

DES

Transition Meeting

The transition meeting is used

to convey/transfer information

from the design team to the

construction management team.

DA

PHASE IV

CONSTRUCTION

Phase IV

Construction

Consultant

Performance

Evaluation


Forward

EvaluationPM

Consultant Performance Evaluation

(Most recent version is located on

Procurement Department’s Website)

Agenda/Minutes




agenda as well as

meeting minutes

Ref: 08/02/13




DB

DC

Begin/Continue

ConstructionCON

Coordinate Public

Relations

Send Notice to

ProceedCM

Notice to Proceed

CONDESPM

Project Manager Tasks

These tasks happen in no

particular order and should

occur continuously at intervals

throughout the entire project.

Progress Report

DB1

CM

Public

Relations?Yes DB1

No

Construction

Continues

PM

Public Meetings Media Interaction

News Releases

Construction Begins

Coordinate Post

Design Services

and Requests for

Information PM

CM

RFI’s/Unforeseen

Conditions/Scope

ChangesCM

STK

Post Design

Services?Yes

DB1

Construction

Continues

No

Phase IV

Construction

Ref: 08/02/13




DC

Design

Changes?Yes

No

DD

Evaluate

Magnitude of

Change PM DES

DC1

Request for

Information

No

Amend

Designer

Contract?

Yes CMP1DC1

No

Construction

Change

Order?

Yes

Change Order

Information

Coordinate

Contract Change

Orders PM CM

DD

DES

DB1

Construction

Continues

Resolve RFI

PM

CHANGE MANAGEMENT

PROCESS

Return from

Change

Management

Process

Phase IV

Construction

Ref: 08/02/13




DD

Change Order

Request Form Pima County Procurement

Available

Budget?

DB1

Construction

Continues

DE

No

Process Change

OrderPM

Yes

Change Order

Request Form

Blank Completed

Change Orders

In many cases, the

Construction Manager is

responsible for processing

change orders; however the

Construction Manager should

work closely with the Project

Manager on this task.

CMP1

CHANGE MANAGEMENT

PROCESS

CM

Pay Request Coordinate

PaymentsPM

Pima County

Finance

Certified

Payment Process

In many cases, the Construction

Manager is responsible for

processing the paperwork to

have the designers/contractors

paid; however the Construction

Manager should work closely

with the Project Manager on this

task.

Commissioning

Required?

No

Yes DI

Commissioning

Return from

Change

Management

Process

Phase IV

Construction

Ref: 08/02/13




DE

DF

Yes

Construction

Substantially

Complete?

DB1No

Issue Substantially

Complete

Certificate CM

Construction

Continues

CON

Substantially

Complete

CertificatePM

Change Status to

Complete & Issue

Completed Project

Report PM

Final

Walk-through CMT

DE2

Walk Through with Contractor,

Stakeholders, & Designer

Phase IV

Construction

Completed Project

Report

Public Works

Administration

Completed Project Report

The Completed Project Report

is one of the on-line forms and

is an Executive Summary of the

scope, schedule, and budget

(estimate vs. actual).

PunchlistConstruction

Accepted?No

Yes

Create Punchlist

CMT

CON

DE2

DE1

AMS Advantage


Ref: 08/02/13




DF

Phase IV

Construction

DG

Date

Date

Gate Meeting


Gate Deliverables




1) Meeting Agenda




5) Substantially Complete Certificate

6) Completed Project Report


Agenda/Minutes




agenda as well as

meeting minutes






If Applicable


If Applicable

5) Substantially Complete Certificate

6) Completed Project Report



Calendar Gate

MeetingPM

Distribute Gate

DeliverablesPM

Gate 4-1

Required?

Yes

No DF2

Conduct Gate 4-1

PM

Gate 4-1 Meeting

Minutes

Gate 4-1 Construction Acceptance

Approved

without

conditions?

DHNo

Yes

Conditional

Approval

Attach Project

MaterialsPM

Update Gate Data

GF

Gate 4-1

Deliverables

Update Project

Tracking Report

If used PM

Project Tracking

Report

DF1

If Used

DF2

AMS Advantage


AMS Advantage


Ref: 08/02/13



Owner: PC Public WorksPhase IV

Construction

Forward Letter of

Acceptance of

Construction PM

Letter of

Acceptance of

Construction

CONLetter of Acceptance

In many cases, the Construction

Manager is responsible for

forwarding the Letter of

Acceptance; however the

Construction Manager should

work closely with the Project

Manager on this task.

EA

PHASE V

CLOSE OUT

DG

Deliverables

Letter of Acceptance of

Construction

Ref: 08/02/13



Owner: PC Public WorksPhase IV

Construction

DH


Complete

Conditions of

Approval PM

Submit

Documentation of

Completion PM GF

Obtain Approval

SignaturesGF PWA

Return Signed

DocumentsGF PM

DF1

Gate Approval

Form

Ref: 08/02/13




Commissioning Process

The process of verifying & documenting that systems

and assemblies meet specifications and requirements

NOTE: This is NOT the process of materials testing

DI

Commissioning

Phase IV

Construction

Commissioning Agent

Commissioning agent is denoted on map

as Cx. This agent can be one of:

* In-house Team

* Design Team Consultant

* Independent Commissioning Agent

Determine

Approach for

Commissioning

Agent DM

Accept Start Up

PM

Acceptance

Document

CON

DE1

AA

Procurement

Needed?Yes

Requisition &

Scope of Work


Receivables

* O & M or SOP Manual

* Performance Verification

* Permits/Certifications

* Training Manuals

Start Up Cycle

Includes training at appropriate

time

No

Coordinate

Receivables CxSTKDESCONVEN

Receivables

Start Up Systems

CxVENCON

Coordinate

TrainingPM/CM

DES

Pass Start Up? No

Yes

DB1

Return to Construction

Ref: 08/02/13




Forward Asset

InformationPM

Bill of Materials/

Contracts

Internal Asset

Process

Request to Update

Assets

Assets

Regional Wastewater

Reclamation records assets

at start of purchasing for

Owner Supplied Equipment.

Departmental

Administrative

Services

Capitalize Project

FIN AMS Advantage

Updated

EB

EA

PHASE V

CLOSE OUT

Documentation

Complete?Yes EA1

Contract

Documents

Spare Parts

Secure Final

Documents

No

Spare Parts

Spare Parts are put into the

Warehouse Inventory within

AMS Advantage & Maximo

Contractor

The contractor in this instance refers

to all contractors who have worked

on the project including designers,

consultants, construction, architects,

engineering, landscape, etc.

Contract Documents

* Architectural & Engineering

Documents

* As-Builts\Redlines\Markups

* Certification of Payments to DBE’s

* Commissioning Documents

* Construction Documents

* Final Certified Payroll

* O & M Manuals

* Warranties

Contractors

PM

Acceptance of Project

Partial acceptance may occur

in prior phases of this process

Distribution List

* Approval Authority/Director

* Contractors

* County Finance

* Funding Authorities

Process Final

Payment including

Release of

RetentionPM/

CM

Pay Request

Pima County Finance

Forward Letter of

Project

Acceptance PM/

CM

Letter of

Acceptance

DIST

EA1

Phase V

Close Out

Ref: 08/02/13




EB

Reconcile Project

with Funding

Agencies PM

Utilities/Fund.

Agencies

Reimbursements

Pima County

Finance

Pima County Departments

Reimbursements

Request Financial

Close OutPM

Departmental

Administrative

Services

Close Out Documents

* Cost Management

* Lessons Learned

* Performance Evaluations

* Permits/Regulations

* Project Charter

* Project Description

* Project Comparisons (Baseline

vs. Actual)

* Project Completion Report

* Project Contacts

* Project Risks

* Project Schedule Info

* Public Art

* Right of Way

* Scope Management

* Warranty Information

Complete/Finalize

Project Tracking

Report PM

PJT

Project Tracking

ReportClose Out

Documents

Departmental Files

Verify status in

AMS Advantage is

“COMPLETED” PM

Deliverables

* Project Tracking Report (including)

Asset Management

Capitalization of Assets

Closed Center Numbers

Closed Project

Closed Purchase Orders

Closed Work Orders

Final Contractor/Consultant Evaluations

Project Charter


Records Retention

Reporting to Outside Agencies (Audits)

Turn Project over to Operations

Utility Reimbursement


The Project Tracking Report is a

final summary & should

document the course of the

entire project.

Forward Final

BalancePM

Final Balance

ReconciliationFinal Balance

Reconciliation?Yes


No

Reconcile &

Finalize

Capitalization PM

Close Out Financials

* Center Numbers

* Project/Subproject

* Purchase Orders

* Work Order Tasks

* Work Orders

Phase V

Close Out

Pima County

Finance

EC

Ref: 08/02/13




EC

Date

Date

Gate Meeting


Gate Deliverables




1) Meeting Agenda





Agenda/Minutes




agenda as well as

meeting minutes



1) Signed Gate 5-1 Approval Form

2) Gate 5-1 Meeting Minutes





Calendar Gate

MeetingPM

Distribute Gate

DeliverablesPM

Conduct Gate 5-1

PM

Gate 5-1 Meeting

Minutes

Gate 5-1 Close Out

Approved

without

conditions?EDNo

Yes

Conditional

Approval

Attach Project

MaterialsPM

Update Gate Data

GF

Gate 5-1

Deliverables

Update Project

Tracking Report

If used PM

Project Tracking

Report

EC1

Phase V

Close Out

PROJECT CLOSED

AMS Advantage


AMS Advantage


Ref: 08/02/13




ED


Complete

Conditions of

Approval PM

Submit

Documentation of

Completion PM GF

Obtain Approval

SignaturesGF PWA

Return Signed

DocumentsGF PM

EC1

Gate Approval

Form

Phase V

Close Out

Ref: 08/02/13




Change Request Form:

*Project Information

*Change Description

*Project Impacts

*Change Cause

*Effort Required

(Refer to Exhibits Section

of this Manual) Yes

NoApproval Route:

Each Department’s

approval route may have

additional steps before

reaching the Department

Director. Department

procedure should be

followed before

submitting change

requests to the

Department Director.

Change Request

Form

Approval

Needed?

CMP2

Change Request

Form

Completed

Follow

Department

Approval

Process

YesMore Info

Needed?CMP1

Conduct Change

Request Meeting

& Prepare Form PM

Project Team

No

Change Request

Meeting:

A Change Request

Meeting can occur as an

individual meeting or as

part of regular project

meetings

CMP1

CHANGE MANAGEMENT PROCESS

Change Management

Ref: 08/02/13



Owner: PC Public WorksChange Management

Change Request

Form

Other Documents

No

Yes

Procurement Process

The procurement process

results in either approval

by the Procurement

Director or the Board of

Supervisors

Procurement Process Result

A procurement process that

results in an approval allows the

change to continue with the

process. A procurement

process that results in a denial

means the change process

ends and the change needs to

be re-evaluated.

CMP2

Approve? Archive Change

Contract

Change

Required?

PM

Yes

No

Update AMS

Advantage &

Maximo PM

Approved

Variance Report

Scanned

Variance

Report?CMP3Yes

No

Variance Report

A Variance Report is needed if the

project change meets one of the

four following criteria:

*When total project costs will

exceed 5% of the total approved

budget.

*When construction start or finish

date exceeds 60 days of the

approved construction start and

finish date

*When the change results in an

alteration to the Truth in Bonding

criteria

*Any change that results in a

contract change that must go

through Procurement

CMP4

Return to

Original Point

in Map

CMP6

CMP5

Ref: 08/02/13




CMP3

Variance

Allowed?

Yes

No


* The Project Manager

should be continually updating


with funding changes,

schedule changes, progress

of meetings, & task notes

Update AMS

Advantage &

Maximo PM

Approved

Variance Report

Variance Report

AA

Develop Variance

Report & Meet

with Dept. Mgmt. PM

Note

* All departments should be

encouraged to have a staff

member who knows the status

and funding of all projects

Determine

Project Status

Approval Authority

* If the variance exceeds

$50,000, approval is required

from the Public Works

Administrator. Otherwise

Department Director approval

is required.

Scanned

Scope

Change Order

Information

CMP4

VARIANCE PROCESS

Change Management -

Variance

Ref: 08/02/13



Owner: PC Public WorksChange Management –

Contract Amendment

Contract

Amendment Form

Blank

Design SheetsConstruction

Documents

CM

Revised Revised

Design Contract

Amendment

Secure

AmendmentPM


Contract

Amendment Form

Completed

Develop New Plan

Sheet

CMP5

CONTRACT AMENDMENT PROCESS

CMP6

PM



PART II: THE GATE PROCESS

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL


Document Revision Date: 08/02/13 1 Pima County Project Management & Gate Process Manual

Reference: Program Management Exit Gate Workshop Follow-Up, Greeley and Hansen/Parsons, August 14, 2008



Interrelationship between the Project Management Process and the Gate Process

Phase I

Project Charter

& Setup

Phase II

Project

Development

Phase III

Design

Phase IV

Construction Phase V

Close Out

Gate 1-1 (Entry)

Deliverables: Project Charter

Gate 1-1 Agenda/Minutes

with Lessons Learned

Gate 1-1 Approval Form

Maintenance Worksheet

Initial Cost Model

Initial MS Project Schedule

Phase I Stakeholder

Meeting Minutes

Other Materials as Requested

Gate 2-1 (Project Development)

Gate 3-1 (30% Design)

Gate 4-1 (Construction Acceptance)

Gate 3-2 (100% PS&E*)

Gate 5-1 (Closeout)

Deliverables: Amended Project Charter

Gate 2-1 Agenda/Minutes



Concept Analysis

Amended Cost Model

Amended MS Project Schedule

Phase II Stakeholder

Meeting Minutes


Deliverables: Gate 3-1 or 3-2 Agenda/Minutes


Gate 3-1 or 3-2 Approval Form

Updated Cost Model

Updated MS Project Schedule

Checkpoint Workshop Minutes


Deliverables: Gate 4-1 Agenda/Minutes



Updated Cost Model


Substantially Complete Certificate

Completed Project Report*


Deliverables: Gate 5-1 Agenda/Minutes



Updated Cost Model


Consultant/Contractor

Evaluations

Completed Project Report*



*Plans, Specifications and Estimate *May need to submit at Phase V

*May need to submit at Phase IV



Introduction & Concept


Benefit of the Gate Process

The gate process has proven effective in insuring project staff,

stakeholders, and management work together at the times when their

inputs are needed in project delivery so that costly downstream

changes are avoided.

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL PART II: THE GATE PROCESS


Intent of the Gate Process

Confirms that collaborative reviews and buy-in by stakeholders is occurring as

project development is progressing

Brings together key project staff, stakeholders and management at project

milestones to discuss and resolve issues at the gate meeting before a project

moves forward

Once agreements are reached at a gate meeting and a project moves forward,

requests by project staff, stakeholders and/or management to add or change

project elements are too late and will not be addressed




Principles of the Gate Process Trust – everyone looks out for each other’s best interests

Respect – everyone listens for understanding of differing values, judgment and opinions

Commitment – everyone upholds agreements, meets deadlines, attends meetings, participates actively, communicates actively, and follows priorities

Communication – everyone shares information in an open and honest way

Teamwork – everyone works together towards common goals

Issue Resolution – issues are prevented, when possible, or are identified and resolved before they harm anyone or the project

Escalation – everyone accepts this method of conflict resolution when consensus cannot be achieved



Ground Rules for Gate Meetings Everyone is equally responsible for the success of the project

Everyone participates fully to the extent of their expertise

Everyone speaks honestly and frankly

There are no hidden agendas; no one is allowed to “torpedo” a project

Discussions are focused on fact-based issues; not on personalities

Understanding is the objective; consensus is not required

All decisions made at gate meeting are final unless the attendees agree to accept a decision

that will be made as a result of escalating an issue

Meetings start and end on time

Anyone who anticipates being late or missing a meeting will inform the Project Manager


Scheduling a Gate Meeting

Gate meetings are scheduled per the protocol shown in the process maps found in

Part I: The Project Management Process of this Project Management Manual

A project manager has the right to schedule more gates than the minimum required

for the size and type of project



Desired Outcome of a Gate Meeting

A successful gate review provides participant’s concurrence that:

Work to date is satisfactory

Risks are controlled

Scope, schedule and budget are appropriately managed

Implementation plans are sound

County and department management remain committed to the project

Lessons learned are discussed and documented at each gate with an eye towards

opportunities for strengthening the project management and gate processes





Objectives for Each Gate





Gates*

Gate 1-1 Project Charter & Project Setup


Gate 3-1 30% Design

Gate 3-2 100% Design


Gate 5-1 Close Out

*Note: Determination of which gates a project will use is made at Phase I Project Charter & Project Setup. As a project progresses, additional

gates can be added.



Gate 1-1 Project Charter & Project Setup

Establishes joint ownership by staff, stakeholders and management for the

success of the project

Assures the need for the project is validated and clearly understood

Confirms that project scope, delivery method, schedule, and budget are

reasonable and achievable and funding sources are available

Commits necessary resources to achieve scope, schedule and budget

Initiates plan for managing potential risks to maintaining scope, schedule and

budget

Identifies polygon of anticipated area of ground disturbance





Only used when Phase 1-1 Project Charter & Project Setup results in a

recommendation for further study of multiple alternatives

Allows additional effort and analysis to be undertaken prior to committing

resources to a particular project approach

Results in amended Project Charter that clearly defines selected alternative

Records lessons learned to date

Achieves the same objectives as Gate 1-1




Gate 3-1 30% Design Stage

Confirms attendees agreed that current scope, schedule, budget and resources are still reasonable and achievable

Provides updates on: Management of potential risks to maintaining scope, schedule and/or budget

Current estimate or GMP

Permits submittals and approvals

Environmental issues

Cultural resources

Utilities

Land acquisition

Long-lead items

Any other critical path items

Presents lessons learned to date




Gate 3-2 100% Plans, Specifications & Estimate

Verifies that project is ready to proceed to procurement

ROW & permits are acquired

Environmental and cultural clearances are obtained

Bid documents (plans, specifications and estimated) are accepted

All funding is secured and available

Confirms attendees agreed that current scope, schedule, budget and resources are still reasonable and achievable

Updates management of potential risks to maintaining scope, schedule & budget

Updates polygon showing final area of ground disturbance

Presents lessons learned to date





Substantial completion letter has been issued

All items on punch list have been completed

Construction fully complete and ready for letter of acceptance to be issued

Warranties established

Lessons learned are updated




Gate 5-1 Close Out

Demonstrates that project is fully completed and closed Final inspection report completed

Record drawings completed

Documents are turned over to records storage

Facility maps completed

Project Tracking Report completed

Completed Project Report prepared

Final payment issued, retention released & financial records closed

Permits closed

Engineer’s certification received

IT Footprint request made to close project in AMS Advantage Financial System

Discusses opportunities for strengthening the project management and gate processes based on lessons learned during the delivery of this project




Guidance for Preparing and

Conducting a Gate Meeting




Role of the Project Manager

Insures that gate deliverables are completed as identified in the process maps found in Part I: The Project Management Process of this Project Management Manual

Insures that reports and information are distributed in advance to the gate attendees using the protocols shown in the process maps - may choose to discuss gate deliverables with Gate Facilitator prior to distribution

Identifies follow-up actions, if any (what, who & when) and insures actions are completed

Distributes gate minutes to all stakeholders

Posts gate deliverables and minutes as identified in the process maps

to document management system


Role of the Gate Facilitator

Remains neutral and objective

Expedites adherence to the agenda and allotted meeting time

Ensures an equal opportunity for all attendees to be heard

Keeps group focused on project-related issues



Role of the Gate Attendee

Represents organization and has the authority to make decisions on behalf of their

organization

Reviews gate deliverables in advance and comes to the meeting informed

Concurs with progress or raises issues

Acts on any follow-up issues requested by the Gate Facilitator or Project Manager





Example of Gate Attendees*


*Go to the Project Management Manual website for current list

Typical Meeting Structure

Using the Project Management Manual Agenda/Meeting form, found on the Project

Management Manual website, the discussion at the gate meeting should focus on:

Updates on key project issues as identified in the Project Charter and any previous

gates

Management of and recovery plans related to potential risks to maintenance of scope,

schedule and/or budget

Updated project cost model highlighting any significant changes; in particular, changes

to funding and/or soft cost percentages

Updated project schedule

Lessons learned to date – what is going well and what has been unexpected



Gate Meeting Result

Three possible outcomes:

Project approved without conditions to move forward, or

Project is approved to move forward after conditions identified by the gate attendees

are met, or

Project is denied approval to move forward – in this case, the sponsoring department

needs to determine whether the project is still active, on hold, or cancelled





PART III: SYMBOLS, DEFINITIONS & ACRONYMS



SYMBOLS

Ref: 2.05.P01.E05 Rev: 07


Owner: B.E.M.

Symbol Key Description Symbol Key Description

Process Task - This describes “What” takes place within the process. Keep description within the box brief but understandable to qualified personnel. Do not change size of box to fit text, instead change text size or add notes to the side.

Decision Point - Critical point in the process where a decision is made. Good practice to label flow lines: Yes/No, Pass/Fail, Accept/Reject. Text within should include a question mark (?). Add decision criteria if required.

File or Folder Storage - Depository for hard copy information. Good practice to list all contents.

Link - Indicates a continuation of the Map on another page or area of the Map. A is allocated to the top of page 1, B top of page 2 etc. A1, A2 are other connectors used on Page 1, B1, B2 on Page 2 etc.

Multi-Document - Used to denote a collection of different pieces of hard copy documentation such as reports, specifications, plans, etc.

Task Responsibility - Each task box must have responsibility defined. Include a meaningful abbreviation and add to the key on the background page. Qualified users must understand the abbreviation selected and be consistent throughout the system.

Book / Log - Can represent a hardcopy log, a training manual, or other non-electronic records or information. May appear on left or right side of map as an input to the task or an output from the task.

E-mail - Electronic medium used to notify or be notified by customers and suppliers both internal and external. Can appear on left or right side of map depending on input or output respectively.

Data Access - Keyboard / Keypad entry or access to a data file, spreadsheet, application or other forms of electronic information.

Mail - Medium used to notify or be notified by customers and suppliers both internal and external. Can appear on left or right side of Map depending on input or output respectively.

Fax - Medium used to notify or be notified by customers and suppliers both internal and external. Can appear on left or right side of map depending on input or output respectively.

Telephone - Medium used to notify or be notified by customers and suppliers both internal and external. Can appear on left or right side of map depending on input or output respectively.

Symbols Key - Main Flow

who?

External Data - This can be a database, data files, programs, spread sheets, etc accessed directly from an external customer or supplier.

Data Storage - This can be a database, data files, programs, spread sheets, etc. Good practice to identify specific name, application name, or location. Information is accessible to authorized personnel.

External Document - Dotted outline denotes an external document. Supplied from a third party activity to the process, i.e. external customer or supplier.

Hard Copy Documentation - Can be Forms, Work Instructions, References, Standards, Information, Educational Aids, Visual Aids, Templates, etc. These are the "Children" to the Process ("Parent"). Include reference identification. These are the “How To’s”.

1

Document Copy - Used to denote hard copies of a piece of paperwork, such as multi-copy forms, receipts, etc. The number references the copy number.

AUTO

Auto Responsibility - Placed at the side of a task box this indicates that responsibility for that particular task has been set up to be carried out automatically.

External Book / Log - Represents external supplier or customer information, training manual, OEM maintenance manual, etc.

Macro / Micro Process - This describes the linkage to another process. Always include Map reference identifier. Color code: Black -Global / Default, Blue - Core, Green -Resource, Violet-System, Red - Improvement Management.

Ref: 2.05.P01.E05 Rev: 07


Owner: B.E.M.

Symbol Key Description Symbol Key Description

Testing - Included when task has an associated test. Specifics on how something is tested can be found in the Test Matrix.

Verification - Included when a task has an associated verification or check against a more formal check list. What is being verified can be defined in the Inspection Matrix when included.

Visual Check - Included when a task has an associated visual check or review. Good practice to list what is being checked (less formal check).

Disk Storage - Removable data storage medium on disk. Give a meaningful name to identify. Use detailed notes to clarify.

Time - Included when a specific time of a task is important to the process. Answers the "when" question on the process.

Symbols Key - Detailing

Calendar / Date - Included when a date is important to the process. Answers the "when" question in the process.

Cycle Time - Included when cycle time is being measured in the process. This will be associated with the process metrics. Reference start and stop time against specific task steps.

Re-Cycle - Used to identify when a product or other material is re-cycled. How the product is re-cycled is detailed on the left side of the map.

Regulatory - This symbol is used when a regulatory standard is applicable to a section of a process or a specific task within a process. Referencing the specific standard is required. The “R” can be replaced by an abbreviation, i.e. ISO for ISO 9000 etc.

CD

T Date

Dispose - Used to identify when a product or other material is disposed of. How the product is disposed of is detailed on the left side of the map or in the Information Matrix if used.

Control - This symbol is used to indicate a critical control point in the process, usually associated with a specific set of defined criteria. This is also referenced in the Control Matrix if used.

Business Record - This identifies information that is to be retained. Good practice to list details. See the Records Matrix for specific details about the record, indexing, filing, retention period, etc.

Training - Included when training or training material is available for an associated task. Additional details can be found in the Training Matrix if used.

Process Metric - Key process metric. How the process is measured for effectiveness. Speed, quality and price are typical parameters. These are leading indicators.

"Red Cloud" - BEM terminology for business opportunity that has been identified. Indicates opportunities ranging from simplification to major process re-design. Part of continuous improvement process. (Red - Critical, Yellow -Important and Green - Improvement).

Information - This indicates that additional information is available. It is good practice to list the details including any applicable reference numbers.

SStamp - Used on hard copy documents to indicate date received, date processed, and other hand written notations as required.

Performance Metric - Key performance metric. All key performance metrics should report to Business Review and are referenced in the Business Scorecard. These are lagging indicators.

Status - Indicates the status or state of readiness of the product of the process, both physical or intellectual i.e. Good, Bad or Don’t know? Etc.

R

Travel - Used to signify a person or team traveling offsite to perform some task. For example, when an inspector drives to an inspection site.



DEFINITIONS AND ACRONYMS

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL DEFINITIONS AND ACRONYMS


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Document Overview This document is to serve as a source of terms commonly used by project managers and other team members within a project. The definitions here in have been pulled from multiple sources within in the Project Management community. The purpose is to add consistency to the terms we use in order to limit any confusion that may occur. This document is also a living document and will change. As new ideas, tools and methods are found; the definitions in this document will grow and expand.



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I. Pima County Project Management & Gate Process Manual Definitions

A Accountability - The obligation to report on one's actions. Activity - Any work performed on a project. An activity must have duration and will result in one or more deliverables. An activity will generally have cost and resource requirements. See Task. Actual (Cost or Schedule) - The cost or effort incurred in the performance of tasks. Also, the date tasks have been started or completed and the date’s milestones have been reached. Alternatives - Possible solutions to a Project Statement. Early in the planning of a project, multiple alternatives may be discussed before deciding on a final plan and moving forward. AMS Advantage & Maximo Programs - A series of computer systems interconnected to provide Pima County with financial accounting, procurement, budget forecasting, asset management, and task tracking. All Capital Projects are created, tracked, and maintained in these systems. Approval Authority - A person or group of people assigned the responsibility of approving and denying projects. The Approval Authority is usually made up of Directors and Deputy Directors. Approval Committee - A group of people assigned the responsibility of approving and denying projects. The Approval Committee is usually made up of Directors and Deputy Directors. Assumption - Something taken as true without proof. In planning, assumptions regarding staffing, complexity, learning curves and many other factors are made to create plan scenarios. These provide the basis for estimating. Remember, assumptions are not facts. Make alternative assumptions to get a sense of what might happen in your project.

B Baseline - A point of reference. The plan used as the comparison point for project control reporting. There are three baselines in a project—schedule baseline, cost baseline and product (scope) baseline. The combination of these is referred to as the performance measurement baseline.



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Budget - The amount allotted for the project that represents the estimate of planned expenditures and income. The budget may be expressed in terms of money or resource units (effort). Buy-in - Gaining the approval/acceptance of stakeholders, business users and other involved parties.

C Capital Projects – Capital projects are projects that meet one of the following criteria.

Any project resulting in a total project cost in excess of $100,000.

All Projects funded with Bonds (for any amount). Change - Difference in an expected value or event. The most significant changes in project management are related to scope definition, availability of resources, schedule and budget. Change Management - The process of making sure that all changes to the project scope are consciously evaluated and their implications to the project plan are considered in making a decision to make the change, postpone it or reject it. Change Request - A documented request for a change in scope or other aspects of the plan. Commissioning - The process of verifying and documenting that systems and assemblies meet specifications and requirements. Communications Plan - Mitigates communication breakdown among project participants and management by articulating how, what, when and to whom individuals will communicate, and where the information will be maintained. Effective communication allows the managers to track milestones, action items, and issues to ensure the project stays on schedule. Concept Report (Concept Analysis) – The Concept Report documents the processes undertaken in developing a design concept for a project, including the issues identified, design criteria employed, alternative approaches considered, public input, and the recommended concept for design. An important function of the concept report is to document the tradeoffs made between the various, sometimes disparate, elements in developing a viable overall project design. The report brings together the results of the various studies and reports, and documents the process by which the recommended concept was developed.



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Consensus - Agreement among the decision-makers that everyone can at least live with the decision (or solution). To live with the decision, one has to be convinced that the decision will adequately achieve objectives. As long as someone believes that the decision will not achieve the objectives, there is no consensus. Constraint - A restriction or limitation that influences the project plan. For example, a target date may be a constraint on scheduling. A schedule may be constrained by resource limitations. Construction Manager at Risk (CMAR) – Is a project delivery method in which the CMAR firm participates in the design phase by evaluating costs, schedule, and constructability, implications of alternative designs, systems and materials. The CMAR continuously monitors/refines costs during the design phase to help keep the design within budget. The owner and CMAR establish a negotiated Guaranteed Maximum Price (GMP) after which the CMAR assumes risk for price and schedule and constructs the project.

a) There is a separate contract for design phase services and a separate contract for construction services.

b) The contract for design phase (preconstruction) services must be entered into before the contract for construction services.

c) Design and construction of the project may be in sequential phases or concurrent phases. d) Finance services, maintenance services, operations services, and other related services may be

included. Consultant Performance Evaluation – A Pima County Board of Supervisors-directed Procurement form that evaluates and rates the performance of the design consultant in completing the assigned task or work. The Project Manager is required to complete this evaluation within ten days of project completion. (Form DD FORM 2631, APR 1999 available on PC Procurement intranet website) Contingency - A designated amount of time and/or budget to account for parts of the project that cannot be fully predicted. For example, it is relatively certain that there will be some rework, but the amount of rework and where it will occur in the project (or phase) are not known. These are sometimes called "known unknowns". The purpose of the contingency is to provide a more accurate sense of the expected completion date and cost of the project (or phase). Critical Path - The path(s) in a project network that has the longest duration. This represents the series of activities that determines the earliest completion of the project. There may be more than one critical path and the critical path(s) may change during the project. Cultural Resources - Cultural resources are those places and things that have been created by the people who have lived, over many centuries, in what is today Pima County. These resources include: archaeological resources, historic resources, historic roads, and traditional cultural places.



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D Deliverable - Any item produced as the outcome of a project or any part of a project. The project deliverable is differentiated from interim deliverables that result from activities within the project. A deliverable must be tangible and verifiable. Delivery Method – The plan or method of project execution. The method by which success will be achieved. Types of delivery methods include: Design-bid-build, Design-build, Construction Manager at Risk, Job Order Contract. Dependency - A relationship between two or more tasks and or resources. A task dependency and be such that one cannot start or finish before another has started or finished. Resource dependent tasks can be scheduled at the same time but are limited by the availability of the shared resources. Description of Need - The process of describing and deciding to begin a project and authorizing the Project Manager to expend resources, effort and money for those that are initiated. Design-Bid-Build (DBB) - REVIEW WITH PROCUREMENT Is a project delivery method in which:

a) There is a sequential award of two separate contracts, typically to separate companies. The first contract is for design services. The second contract is for construction.

b) Design and construction of the project are in sequential phases. Construction is competitively bid, with award of contract going to the lowest responsive, responsible bidder.

c) Finance services, maintenance services and operations services are not included. Design-Build (DB) - REVIEW WITH PROCUREMENT Is a project delivery method in which:

a) A single contractor is responsible for design services and construction services. A fee for design and preconstruction services must be negotiated and established in a separate contract for design and preconstruction services before a separate contract for construction is established. If the Contractor is selected in a single-step qualifications-based procurement, the total compensation for the construction phase of the Project is set forth in a negotiated Guaranteed Maximum Price (GMP). If the Contractor is selected in a two-step procurement involving consideration of cost/price, then the total compensation for construction phase of the project may be either GMP or fixed-price.

b) Design and construction of the project may be in sequential phases or concurrent phases. c) Finance services, maintenance services, operations services, and other related services may be

included. Duration - The length of time required or planned for the execution of a project activity. Measured in calendar time units—days, weeks, months.



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E Early Start - The earliest time a task can begin. The time at which all the tasks' predecessors have been completed and its resources are planned to be available. Earned Value Analysis - Earned value analysis is a method for measuring project performance. It indicates how much of the budget should have been spent, in view of the amount of work done so far and the baseline cost for the task, assignment, or resources. Effort - The amount of human resource time required to perform an activity. Measured in terms of person hours, person days, etc. Environmental Report (aka EAMR) - The Environmental Report will document the results of the assessment undertaken to identify unavoidable adverse impacts of the recommended alternative on the physical, social, and economic environment in the vicinity of the project, and to recommend measures to mitigate those adverse effects. The effect on cultural resources must also be considered in the report. Escalation Ladder - Is the escalation of any of a number of issues or conflicts from the staff level through the projects team members up to the Agency level if necessary. Estimate - An assessment of the required duration, effort and/or cost to complete a task or project. Since estimates are not actuals, they should always be expressed with some indication of the degree of accuracy. Estimate to Completion - The expected effort, cost and/or duration to complete a project or any part of a project. It may be made at any point in the project's life.

F Financial Assessment - An analysis of the financial details of a project that will include assumptions and source documentation that presents a range of costs Float - The amount of time available for a task to slip before it results in a delay of the project end date. It is the difference between the tasks early and late start dates.



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Forecasting - To calculate or predict a projects budget or schedule, usually as a result of study and analysis of available pertinent data. This data is usually found in either the Performance Budgeting application or in a project Microsoft Project template.

G Gantt Chart - A bar chart that depicts a schedule of activities and milestones. Generally activities (which may be projects, operational activities, project activities, tasks, etc.) are listed along the left side of the chart and the time line along the top or bottom. The activities are shown as horizontal bars of a length equivalent to the duration of the activity. Gantt Charts may be annotated with dependency relationships and other schedule-related information. Geotechnical Report – A technical engineering document of the geological and soils investigation, subsurface water, sampling and laboratory testing, and material recommendations of a project site.

H Hydrology Report – A technical engineering report documenting the hydrologic and hydraulic analysis, calculations, modeling and recommendations for managing storm water across a project site in the existing condition and with project conditions.

I Impact Analysis - No doubt your project will change the way things are done, and the costs incurred in doing it. Working out what the difference will be is impact analysis. Implementation - May be a phase in the project life cycle in which a product is put into use. Also a term used as a synonym for development. Intergovernmental Agreement (IGA or JPA) – Intergovernmental Agreement is a legal document approved by the Board of Supervisors with other state, local or federal government agencies to provide an exchange of funds or services.

J Job Order Contract (JOC) – REVIEW WITH PROCUREMENT Is a project delivery method in which:

a) The contract is a contract for indefinite delivery / indefinite quantities of construction. b) The construction to be performed is specified in job orders issued during the contract.



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c) Finance services, maintenance services, operations services, preconstruction services, design services and other related services may be included.

Justification - Reason(s) for initiating a project. These can vary from regulatory requirements to long term community benefits.

K Kick-Off Meeting - A meeting at the beginning of the project or at the beginning of a major phase of the project to align peoples' understanding of project objectives, procedures and plans, and to begin the team-building and bonding process.

L Late Start - The latest time a task can start before it causes a delay in the project end date. Level of Effort (LOE) - Defines the amount of work performed within a period of time and is measured in man days or man hours

M Metrics - Metrics are quantitative measures such as the number of on time projects. They are used in improvement programs to determine if improvement has taken place or to determine if goals and objectives are met. Milestone - A point in time when a deliverable or set of deliverables is available. Generally used to denote a significant event such as the completion of a phase of the project or of a set of critical activities. A milestone is an event; it has no duration or effort. It must be preceded by one or more tasks (even the beginning of a project is preceded by a set of tasks, which may be implied). Mitigation – A process or activity to make less harsh, less hostile, or to reduce and compensate for the impact.

N Network Diagram - A graphic tool for depicting the sequence and relationships between tasks in a project. PERT Diagram, Critical Path Diagram, Arrow Diagram, Precedence Diagram are all forms of network diagrams.



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O Objective - An objective is something to be achieved. In project management, the objectives are the desired outcomes of the project or any part of the project, both in terms of defined deliverables and behavioral outcomes. Over the Shoulder Review – A project management process where the consultant, the owner and other stake holders review plans and documents in formal and or informal meetings to expedite the review process.

P Partnering Principles - Partnering is a formal process which includes all Partners' input, with tangible deliverables: a Partners' communication and roles matrix, a charter (mission, goals and guidelines), issue resolution agreements, an action plan, partnering evaluation program, meeting follow-up strategies and a written report that includes all Partnership agreements. Partnering follows the following principles: Trust, Commitment, Communication, Cooperation, Teamwork Relationships, Issue Resolution, Measurement/Feedback and Continuous Improvement. Partnering Team – An additional project team that is directly or indirectly associated with a project. Partnering teams can be responsible for whole project tasks, or may be as simple as a source of information. Phase - A grouping of activities in a project that are required to meet a major milestone by providing a significant deliverable, such as a requirements definition or product design document. A project is broken down into a set of phases for control purposes, planning, design, construction, Utility Relocation, public, and contingency. Planning - The process of establishing and maintaining the definition of the scope of a project, the way the project will be performed (procedures and tasks), roles and responsibilities and the time and cost estimates. Predecessor Task - A task (or activity) that must be started or finished before another task or milestone can be performed. Preliminary Scope Statement - A short, high-level overview of the work to be done. Generally used early in a project’s development, the preliminary scope statement is a brief description of the parameters required for design and construction of the recommended solution. The preliminary scope statement is used later to build the much more detailed Scope Of Work.



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Project Close Out (review) - The process of gaining formal acceptance for the results of a project or phase and bringing it to an orderly end, including the archiving of project information and post-project review. See Gate 6-1 in the project manual. Problem Statement - Describes the reason(s) for initiating the project, specifically stating the problem. Process - A series of steps or actions to accomplish something. A natural series of changes or occurrences. Program - A suite of related projects and ongoing operational activities managed as a whole. Project - An effort to provide a product or service within finite time and cost constraints. Project Charter - The Project Charter is a high-level, short document created at project initiation to communicate the major parameters of the project. The Project Charter focuses on the problem/issue and devotes little to an actual solution. Project Life Cycle - The full set of activities from the beginning to the end of a project. Generally associated with a set of phases, which are determined based on the major parts of project performance (e.g., requirements definition, design, construction, deployment) and the need for control by the Client organization (checkpoints for Go/No go decision-making). Project Management - The process and of application of planning, team-building, communicating, controlling, decision-making, and taking corrective action to ensure project objectives are met. Project Management Plan - A baseline tool used as a reference for managing the project. It is one of the most important documents in the overall planning, monitoring, and implementation of a project and should be "owned" by the project manager and his/her team. The plan should include: A definition of overall objectives, statements on how these should be achieved (and verified) Estimates of the time required the budget Quality policy Safety, health and environmental policies if appropriate the risk management strategy. Other items of a technical, commercial, organizational, personnel or control nature can also be included. Project Manager - The person responsible and accountable for managing a project's planning and performance. The single point of accountability for a project.



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Q Quality Assurance (QA) - Making sure standards and procedures are effective and that they are complied with. Note, in some organizations QA is used to refer to the quality control function. Quality Control (QC) - Making sure deliverables comply with acceptance criteria. Includes testing and reviews.

R Request for Proposal (RFP) - REVIEW WITH PROCUREMENT A document that describes a need for products and/or services and the conditions under which they are to be provided. The purpose of the RFP is to solicit bids or proposals from prospective suppliers. Also called a Request for Quote (RFQ). Requisition – An electronic document electronically generated in Advantage required to begin the Procurement process. Responsibility - The obligation to perform or take care of something, usually with the liability to be accountable for loss or failure. Responsibility may be delegated to others but the delegation does not eliminate the responsibility. Responsibility Assignment Matrix (RAM) - A tool used to relate each project activity in the WBS with a responsible organization unit or individual. Its purpose is to ensure that every activity is assigned to one or more individuals (only one with primary responsibility) and that the individuals are aware of their responsibilities. Risk (Risk Analysis) - The likelihood of the occurrence of an event. Generally, the event is a negative one like project failure, but may also be a positive event, like the early completion of a task. Risk Assessment - Part of risk management in which planners identify potential risks and describe them, usually in terms of their symptoms, causes, probability of occurrence and potential impact. Risk Management - Is the identification, assessment, and prioritization of risks followed by coordinated and economical application of resources to minimize, monitor, and control the probability and/or impact of unfortunate events.



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S Schedule - The project timeline, identifying the dates (absolute or relative to a start date) that project tasks will be started and completed, resources will be required and upon which milestones will be reached. Scope - Scope is defined in terms of three dimensions—product, project and impact. Product scope is the full set of features and functions to be provided as a result of the project. Project scope is the work that has to be done to deliver the product. Impact scope is the depth and breadth of involvement by, and effect on, the performing and client organizations. Scope Change - Any change in the definition of the project scope. Scope change can result from changes in client needs, discovery of defects or omissions, regulatory changes, etc. Scope of Work (SOW) - A statement describing the scope of the projects principle deliverables and constraints. Service Level Agreement (SLA) - A contractually enforceable agreement on the quality of service provided. Slippage - What you get when you start running slightly over-time or over-budget. How does a project get six months late? One hour at a time. Solicitation Documents – REVIEW WITH PROCUREMENT Documents that are typically the final design plans, special engineering specifications and project conditions (Special Provisions), Engineer’s Estimate of probable cost, bid requirements and bid tabulations, sample construction contract, the bid tabulation, and other documents such as special permits, reports and drawings that may have an impact on the construction contract and the construction contractors’ bids. Specifications - Detailed statements of project deliverables that result from requirements definition and design. Specifications generally describe the deliverables in terms of appearance, operational constraints and quality attributes. Specifications are the basis for acceptance criteria used in scope verification and quality control. In some organizations and industries, specifications may be qualified as requirements specifications and design specifications. Stakeholders - Stakeholders are the specific people or groups who have a stake, or an interest, in the outcome of the project. Normally stakeholders are from within the County, and could include internal clients, management, employees, administrators... etc



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Subject Matter Expert (SME) - An expert in some aspect of the project's content expected to provide input to the project team regarding business, scientific, engineering or other subjects. Input may be in the form of requirements, planning, resolutions to issues and/or review of project results. Substantial Completion* – Substantial Completion is the date on which the construction work is sufficiently complete so that the owner can use or occupy the project for its intended use. This is the date on which a letter of substantial completion is issued by the owner to the contractor, contract time is halted and liquidated damages can no longer be assessed. Contract time is defined as the number of working days or calendar days allowed for substantial completion of the work by the contractor, including authorized time extensions. Punch list items may still need to be completed after substantial completion. *Note: For Facilities Management that does not have a Substantial Completion task in its MS Project Template, this definition of substantial completion will apply to Construction Finish on Line 34 of the MS Project Template.

Successor - A task or milestone that is logically linked to one or more predecessor tasks. Storm Water Pollution Prevention Plan (SWPPP) – Storm Water Pollution Prevention Plan is required by EPA and the Arizona Department of Water Quality to mitigate the sediment and pollution impacts created by ground-disturbing activities.

T Task - A piece of work requiring effort, resources and having a concrete outcome (a deliverable). A task may be of any size (a project is a very large task). Sometimes the term is used to denote a piece of work at a particular level in a Work Breakdown Structure (WBS) hierarchy e.g., a phase is broken into a set of activities, and an activity into a set of tasks. Except for this hierarchical usage, activity is synonymous with task.

U User Group- The people within the client who will own and/or operate the system or site you're producing. Note that the client doesn't have to be an external one (you could work for the same people).

V Variance - The difference between estimated cost, duration or effort and the actual result of performance. In addition, can be the difference between the initial or baseline product scope and the actual product delivered.



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W Work Day/Hour - A single work hour is one hour and a single work day is generally 8 hours. These terms are used to reference the amount of work needed to complete a task. If two people worked on a task for one hour each, they used two work hours to complete that task. The amount of time passed may have only been one hour, but two work hours were used. Work Days is used when task timeframes are of greater length.

Y

Z

II. Pima County Project Management & Gate Process Manual Acronyms

A AA – Approval Authority AC – Approval Committee ADA – Americans with Disabilities Act ADEQ – Arizona Department of Environmental Quality AZPDES - Arizona Pollutant Discharge Elimination System

B BAC – Budget at Completion BOS – Board of Supervisors

C CAC – Community Advisory Committee CIP – Capital Improvement Program CMAR – Construction Manager at Risk CxA – Commissioning Agent

D DB – Design-Build DBB – Design-Bid-Build DBO – Design-Build-Operate DCR – Design Concept Reports DD – Deputy Director DES - Designer



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DIR – Director DM – Division Management DOT – Department of Transportation

E EAC – Estimate at Completion EAMR – Environmental Assessment and Mitigation Report

F FP – Fixed Price

G GIS – Geographic Information Systems

H I IGA – Inter-governmental Agreement IT – Information Technology

J JOC – Job Order Contract JPA -

K

L LOE – Level of Effort

M MSP - Microsoft Project

N

O O&M – Operation and Maintenance



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P PAG – Pima Association of Governments PC – Pima County PDEQ – Pima County Department of Environmental Quality PLM – Planning Manager PLS – Planning Staff PM – Project Manager, Program Manager, Project Management PMCP – Project Management Communication Plan PO – Purchase Order PRF – Project Request Form

Q QA – Quality Assurance QC – Quality Control QCL – Qualified Consultant List

R RAM – Responsibility Assignment Matrix RFP – Request for Proposal ROW – Right of Way RWRD – Regional Wastewater Reclamation Department

S SCADA -Supervisory Control and Data Acquisition SLA – Service Level Agreement SME – Subject Matter Expert SOP – Standard Operating Procedure SOW – Scope of Work SWPPP – Storm Water Pollution Prevention Plan

T TAZ – Traffic Analysis Zones TPAC – Tucson Pima Arts Council

U USFS – United States Forest Service



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V W X Y Z

III. References

Allpm.com. Project Management Basics Glossary. http://allpm.com/index.php/free-resources/pm-glossary Burns, Martin. A Project Management Glossary. 2001. http://www.evolt.org/article/A_Project_Management Glossary/20/15355/ Project Connections. Projectconnections.com 2008. http://www.projectconnections.com/ Project Management Institute. PMI.org. 2008 http://www.pmi.org/Pages/default.aspx PSMJ Resources. Public Works Project Management. 2008.

http://allpm.com/index.php/free-resources/pm-glossary

http://www.evolt.org/article/A_Project_Management%20Glossary/20/15355/

http://www.projectconnections.com/

http://www.pmi.org/Pages/default.aspx



PART IV: EXHIBITS

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL LIST OF EXHIBITS


DESCRIPTION OF NEED GUIDANCE FOR ESTABLISHING A STAKEHOLDER LIST AGENDA/MINUTES FORM GUIDANCE FOR PREPARING A PROJECT CHARTER (This exhibit is under development) PROJECT CHARTER FORMAT QUALIFYING CRITERIA FOR GATES CHECKLISTS FOR PROJECT SETUP AND GATE DELIVERABLES (This exhibit is under

development) GATE APPROVAL FORM PROJECT TRACKING REPORT (This exhibit is under development) GUIDANCE ON DESIGN REVIEW PROCESS (This exhibit is under development) MISCELLANEOUS EXHIBITS LINKS TO RELATED WEBSITES (This section is under development)

Pima County Procurement Department Board of Supervisors Policy D29.1 Selection and Contracting of Architectural and Engineering Related Professional Services and Alternative Project Delivery Methods Consultant Performance Evaluation Form Contractor Performance Evaluation Form

PimaCore Tools/Job Aids – CIP Corner MS Project Templates Project Cost Model Template Maintenance Request Form Completed Project Report

ADOT Partnering Principles and Process



DESCRIPTION OF NEED

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL DESCRIPTION OF NEED


Project Name:

Project Location:

Prepared By: Phone #:

Background:

Need Statement:

Justification:

Attach a Map of the Area

Estimated Total Cost: $_______________

APPROVAL FOR PROCEEDING WITH PROJECT CHARTER

Director Signature Date



GUIDANCE FOR ESTABLISHING

A STAKEHOLDER LIST

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL GUIDANCE FOR ESTABLISHING A STAKEHOLDER LIST


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Document Overview

Stakeholders provide key project input for a variety of issues during the project. The intent of defining stakeholders is to assign key staff to provide the specific input for applicable issues and risks for the development of the Project Charter, and avoid potential miscommunication or review of key project areas. This stakeholder list is intended to provide a starting point for project managers when deciding on key stakeholders appropriate for a particular project. The list below contains typical project issues which should have a stakeholder defined.

Areas of Concern Considered for Specific Stakeholder Involvement

Scope Real Property/ROW IGA’s or Agreements Public Outreach

Budget Cultural Resources Alternative Delivery Public Art

Funding Environmental Issues Procurement Coord. Political Issues

Project Status Utility Coordination IT Dept. Coordination Construction Trends

Regulatory Issues Site Constraints Maintenance/Ops Coord.

Design Standards/Req. Required Permits Field/Inspection Coord.

Service Groups Stakeholders

Of these areas listed above, the following are handled by specific service groups, and are consistent in all departments.

Real Property/ROW Real Property Manager (or designee)

Cultural Resources Office of Sustainability and Conservation, Cultural Program Coord.

Utility Coordination PCDOT, Utility Coordinator

Alternate Delivery Procurement, Design and Construction Manager

Procurement Coordination Procurement, Design and Construction Manager

IT Department Coordination ITD, Relationship Manager

Public Art TPAC, plus any internal manager as identified

Public Outreach PCDOT, Community Relations Manager

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL GUIDANCE FOR ESTABLISHING A STAKEHOLDER LIST


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Internal Stakeholders

The remaining areas of concern will require an internally generated list of stakeholders, dependent on the scope of work of the project. This list can be personalized specifically by each department.

Scope Department Director (or Div Mgr)

Budget/Funding Department Director (or Div Mgr), Project Controls staff if applicable

Regulatory Issues; Required Permits

CIP Division Manager, Development Services, or other internal contact (such as RFCD).

Environmental Issues Department Environmental Coordinator, or PM

Design Standards/ Requirements; Site Constraints

CIP Division Manager, Planners or Technical Reviewers. May include internal specialists outside of the department depending on project scope.

IGA’s or agreements Department IGA coordinator, Department assigned Legal Rep.

Maintenance/Ops Coordination Future Managing Department M&O Staff

Field/Inspection Coordination; Construction Trends/Issues

Field Engineering Manager or Construction Mgt Staff if internally inspected managed.

Political Issues Department Director (and County Administration as required)

External Stakeholders

Finally, external input may be required during project development, design, and construction.

User Groups If applicable, external users or clients for the project.

Outside Jurisdiction Local Jurisdictions - if project is externally delivered/located

Outside Agency If specific coordination is required, perhaps due to funding source or permits & approvals that are required.



AGENDA/MINUTES FORM

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL AGENDA/MINUTES


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Agenda/Minutes

Stakeholder Meeting:

Click here for menu

Gate Meeting: Click here for menu

Over-the-Shoulder Review:

Click here for menu

Milestone Workshop:

Click here for menu

Kickoff Meeting: Click here for menu

Other Meeting: Click here for menu

Meeting Date:

Department:

Project Manager:

Project Number:

Project Name:

Has GPS Polygon changed from Project Charter? Yes ☐ or No ☐

Location/Site Map (include outline of polygon)

See attached location/site map

Project Scope

Initial Project Charter Scope:

New/Proposed Scope Modifications (If any):



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Construction Procurement Method: (Indicate if different from Project Charter)

Update on: Click here for menu Source: Click here for menu

Description:

Status/Strategy:

Meeting Minutes of Discussion and Any Proposed Action:


Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:


Update of risks, assumptions, constraints and/or scope elements contained in Project Charter as well as any that are new



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Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:



Description:

Status/Strategy:




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Lessons Learned to Date (Note Project Stage)

Meeting Minutes of Discussion on Lessons Learned:

Review Project Schedule (Use Microsoft Project Schedule Template)

Meeting Minutes of Discussion on Schedule:

Review Project Cost Model (Use Cost Model Template)

Meeting Minutes of Discussion on Cost Model:

Additional Gate Minutes/Action Items

Meeting Minutes of Discussion on Additional Items:



GUIDANCE FOR PREPARING A

PROJECT CHARTER

(This exhibit is under development)



PROJECT CHARTER FORMAT

Pima County Project Management & Gate Process Manual Document Revision Date 08/02/13

PIMA COUNTY PROJECT CHARTER

[Department] [Project Name] Project ID:

Prepared by: Approval of the Project Charter indicates an understanding of the purpose and content as described in this document. By signing this document, each individual agrees work should be initiated on this project and necessary resources should be committed as described herein.

Approver Name Title Signature Date

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL PROJECT CHARTER

Pima County Project Management & Gate Process Manual Document Revision Date 08/02/13 [Department] 2 of 14

TABLE OF CONTENTS

EXECUTIVE SUMMARY OVERVIEW

Background Need Statement Justification Map of the Area with Polygon

STAKEHOLDERS ALTERNATIVES ALTERNATIVES ANALYSIS

Assumptions and Implications of Each Alternative Constraints and Impacts Unique to Each Alternative Assessment of Risks to Achieving Scope, Schedule and/or Budget as

Presented in this Project Charter Estimated Benefits of Each Alternative

RECOMMENDATION(S)

Scope Statement PROPOSED DELIVERY METHOD AND JUSTIFICATION MAJOR TASKS AND MILESTONES PRELIMINARY FINANCIAL ASSESSMENT

Forecast by Phase and Fiscal Year Funding Sources

APPENDICES

Cost Model MS Project Schedule



EXECUTIVE SUMMARY

Need Statement

Recommendation

Project Scope Statement

Delivery Method

Project Schedule

Project Cost and Funding Sources

Risks to Achieving Charter’s Scope, Schedule and/or Cost

Estimated Benefits of Project



OVERVIEW

Background

Need Statement

Justification

Map of the Area with Polygon (Insert Map)



STAKEHOLDERS

Member’s Name: [Affiliation]

Role:

Responsibility:


Role:

Responsibility:


Role:

Responsibility:


Role:

Responsibility:


Role:

Responsibility:


Role:

Responsibility:


Role:

Responsibility:



ALTERNATIVES

Alternative 1

Alternative 2

Alternative 3 (Possibly “Do Nothing” – May or May Not Apply)



ALTERNATIVES ANALYSIS

Assumptions and Implications for Each Alternative Alternative 1: (Insert Name)

Assumption:

Implication:

Assumption:

Implication:

Assumption:

Implication:

Alternative 2: (Insert Name)

Assumption:

Implication:

Assumption:

Implication:

Assumption:

Implication:


Assumption:

Implication:

Assumption:

Implication:



Constraints and Impacts for Unique to Each Alternative


Constraint:

Impacts:

Constraint:

Impacts:

Constraint:

Impacts:


Constraint:

Impacts:

Constraint:

Impacts:

Constraint:

Impacts:


Constraint:

Impacts:

Constraint:

Impacts:



Assessment of Risks to Achieving Scope, Schedule and/or Budget as Presented in this Project Charter

1. [RISK – name or description]

Alternative: 1 ☐ 2 ☐ 3 ☐

Probability: High ☐ Med ☐ Low ☐ Impact: High ☐ Med ☐ Low ☐

Action: Control ☐ Absorb ☐ Avoid ☐ Deflect ☐

Mitigation Strategy:























Estimated Benefits of Each Alternative

Alternative 1 Estimated Level of Benefit

Protects Health, Safety & Property High ☐ Med ☐ Low ☐ None ☐

Increases Capacity High ☐ Med ☐ Low ☐ None ☐

Meets Regulatory/Mandated Requirement High ☐ Med ☐ Low ☐ None ☐

Promotes Economic Development High ☐ Med ☐ Low ☐ None ☐

Makes Use of Non-County Funding High ☐ Med ☐ Low ☐ None ☐

Reduces Long-Term Costs to the County High ☐ Med ☐ Low ☐ None ☐

Rehabilitates/Preserves/Enhances Existing Asset High ☐ Med ☐ Low ☐ None ☐

Enhances Environment and/or Cultural Resource High ☐ Med ☐ Low ☐ None ☐

Improves System Continuity High ☐ Med ☐ Low ☐ None ☐

Meets Master/Long-Range Plan High ☐ Med ☐ Low ☐ None ☐

Is Regionally Significant High ☐ Med ☐ Low ☐ None ☐



























RECOMMENDATION(S)

Scope Statement

PROPOSED DELIVERY METHOD AND JUSTIFICATION



MAJOR TASKS AND MILESTONES

Task 1

Approach:

Deliverables:

Task 2

Approach:

Deliverables:

Task 3

Approach:

Deliverables:

Task 5

Approach:

Deliverables:

Task 6

Approach:

Deliverables:



PRELIMINARY FINANCIAL ASSESSMENT

Forecast by Phase and Fiscal Year

FY FY FY FY FY TOTAL

Planning 0 0 0 0 0 0

Design 0 0 0 0 0 0

Right-of-Way 0 0 0 0 0 0

Utilities 0 0 0 0 0 0

Construction 0 0 0 0 0 0

Art Work 0 0 0 0 0 0

Contingency 0 0 0 0 0 0

Total 0 0 0 0 0 0

Funding Sources Funding Summary

Funding Sources Amount % of Total Source

A. % project number

B. % project number

C % project number

D. % project number

TOTAL %



APPENDICES

Append Cost Model and MS Project Schedule



QUALIFYING CRITERIA FOR GATES

PIMA COUNTY PROJECT MANAGEMENT & GATE PROCESS MANUAL QUALIFYING CRITERIA FOR GATES


I. General Requirements for All Capital Improvement Projects

A. All capital improvement projects must be delivered in accordance with Pima County Administrative Procedure 3-28, Implementation of the Project Management Manual and Exit Gate Process.

B. All capital improvement projects must have an approved Project Charter that is: 1) signed by the

Department Director, at a minimum, if the total project cost is less than $500,000 or 2) signed by the Department Director and Public Works Administration, at a minimum, if the total project cost is equal to or greater than $500,000.

II. Qualifying Criteria for Gates

A. All capital improvement projects must hold a Gate 6-1 (Closeout) meeting and obtain approval to close the project, even if it is a department-only process and meeting.

B. All capital improvement projects equal to or greater than $3 million, unless listed as exempt in II.D below, require approval through all gates; although, the Gate Committee may grant a “pass” for the next gate.

C. All capital improvement projects equal to or greater than $500,000 and up to $3 million, unless listed as exempt in II.D below, require Gate 1-1 (Entry) approval as well as Gate 3-2 (100% PS&E) approval and Gate 4-1 (Substantially Complete) approval, or as determined by the Gate Committee at Gate 1-1 (Entry).

D. The types of capital improvement projects listed below are exempt from Gate 1-1 (Entry) through Gate 5-1 (Construction Acceptance), unless: 1) the department elects for a project hold some or all of the gates; 2) Public Works Administration requires a project to hold some or all of the gates, and/or 3) a project is funded partially or fully with federal funds, in which case II.C, above, applies.

Capital improvement project with a total project cost of less than $500,000 Capital improvement project funded by Pima County but managed by other jurisdictions (IGA’s) Projects not considered capital improvements Tenant improvement projects not considered capital improvement projects Planning studies that do not anticipate proceeding to design and/or construction On-hold projects Floodprone land acquisitions Property acquisitions only (no engineering or construction) SCADA (Supervisory Control and Data Acquisition) projects Major (funding) programs Equipment upgrades and replacements Conveyance rehabilitation projects less than $1 million Pavement preservation projects



CHECKLISTS FOR PROJECT SETUP AND

GATE DELIVERABLES

(This section is under development)



GATE APPROVAL FORM


GATE APPROVAL FORM


Project Name:

Project ID: Project Manager: Meeting Date: Gate Number:

GATE DECISION:

Project unconditionally approved - proceed to next Gate

Project conditionally proceeds and must address open items. Describe Conditions, using additional pages if necessary: _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________

Project is delayed, cancelled or denied. Explain: _________________________________________________________________________________________________

COMMENTS (Use additional pages if necessary):

_________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________

NEXT GATE: ESTIMATED DATE:


GATE APPROVAL FORM


Gate Stakeholder Recommendation: (A – Approve, D – Deny, C – Conditional) Signature Name (Print) Date A/D/C __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______ __________________________ _______________________________ _________ ______

GATE APPROVAL SIGNATURES: Signature Name (Print) Date A/D/C Project Manager: __________________________ _______________________________ _________ ______ Department Management: __________________________ _______________________________ _________ ______ Public Works Administration: __________________________ _______________________________ _________ ______



PROJECT TRACKING REPORT




GUIDANCE ON DESIGN REVIEW PROCESS




MISCELLANEOUS EXHIBITS

PROJECT CHANGE REQUEST FORM AND VARIANCE REPORT Pima County Public Works

Project Information Change #: Date: Department:

Project Manager: Department Sponsor

Change Initiation Initiator: Functional Area:

Description of Requested Change and Alternatives

Project Impacts if Change is APPROVED Project Impacts if Change is DENIED

Cause of Change Request

Project Name: Project #:

Owner Requested Changes Design Document Changes Unforeseen/Changed Conditions RFI Other

Description/Comments (be specific)

Variance Required to Make Requested Change Approved Proposed Variance Budget Budget ($) Construction Approved Proposed Schedule Construction Construction Variance Schedule Schedule (Days) Start Date Finish Date

Contract Amendment Yes No Authorizations

Name Title Date Yes Conditional No

Notes, Conditions and/or Reasons for Denial

EXHIBIT C

Partnering Partnering is defined as “a process of collaborative teamwork to achieve measurable results through agreements and productive working relationships.” Principles of Partnering: Trust Knowing that another Partner will look out for the other

Partner’s best interests.

Commitment Keeping agreements.

Communication Sharing information in an open and honest way.

Cooperation, Teamwork & Relationships

Partnership members working together toward common goals.

Issue Resolution Having agreements and a process in place so issues are prevented when possible, or are identified and resolved, before they harm the Partnership or the project.

Measurement/Feedback Evaluating the progress of the Partnership toward goals and learning from what works and what doesn’t work.

Continuous Improvement Using the feedback to determine and make the required changes.

ADOT Partnering website: http://www.azdot.gov/CCPartnerships/Partnering/index.asp

3/2/2009

http://www.azdot.gov/CCPartnerships/Partnering/index.asp

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3/2/2009

EXHIBIT E

Environmental Checklist

Background Purpose/Need Location Proposed Project Environmental Screening Sustainability Biological Resources* Drainage Floodplain Air Quality Noise Utilities Hazardous Materials Construction Cultural Resources* Visual Resources* Right of Way Acquisition Access Parking Impacts Neighborhood Disruption Parks & Recreational areas Agency Coordination Public Participation Conclusion Schedule

*Roadway is ESR if one of the following is met:

Located or crossing Biological Core Located or crossing Multi-Use or Recovery Area Located or crossing Important Riparian Area Located or crossing Agriculture within Recovery Area Located or crossing Existing Development Located or crossing Scientific Research Area Located or crossing Moderate or High Archaeological Sensitivity Zone Located or crossing Priority Cultural Resource Identified as Historic Roadway or Route Identified as Scenic Route

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3/2/2009

EXHIBIT E

DCR Checklist

Project Overview Project Description Project Area Characteristics Traffic Data Accident Data Design Standards Design Criteria Major Design Features Social Considerations Economic Considerations Environmental Considerations Right of Way Requirements Public Involvement Agency Coordination Alternatives Conclusions & Recommendations Cost Estimate Budget Schedule

Phase 3-Project Manager’s Design Deliverables December 1, 2008

15% Plan Stage

• Project Scope summary for PMP o Identify design goals and potential hazards and risks o Identify potential cultural resource issues o Identify environmental issues o Identify conflicting utilities o Identify all potential permits o Identify hydrologic issues o Identify Right-of-way needs o Identify constructability issue, define staging area and points of access o Identify sustainability issues o Complete risk assessment of issue to project scope, schedule and budget.

• Develop and post a Project Schedule • Confirm and post Project Budget. • Consultant contract with scope and fees • Real Property request form • Rights-of- entries for ground disturbing investigations and non-ground disturbing

surveys. • Establish a public relationship plan, this may or may not include a Citizen’s

Advisory Committee 30% Plan Stage

• Environmental Assessment and Mitigation Report o Phase 1 Hazardous Materials survey o Endanger Species Surveys o Pygmy Owl Surveys o Native Plant Survey o 404 jurisdictional delineation o Sustainability Plan

• Phase 1 Cultural Resource Inventory Survey • Survey notes, DTM and topography CAD files • Preliminary Hydrologic and Hydraulic Report • Preliminary Geotechnical Report • Preliminary Utility Notification Letter • Preliminary Capacity Reports for sewer, water, storm flow and traffic flow as

applies to project. • Permit Applications and correspondence • Right-of-way Condemnation Resolution • Right-of-way Map • Right-of-way Parcel Table • Legal Descriptions and sketches • Design Concept Report, may or may not require BOS approval.

1

• 30% Plans o Survey Control Plan o Plan and Profile o Typical Sections o Utility relocations o Other sheet as required by project

• Engineer preliminary estimate of cost. • CIP Ace and variance reports • Project Meeting Minutes and correspondence • Value Engineering meeting minutes • Review comments and responses.

60% Plan Stage

• Environmental Assessment and Mitigation o Phase 2 Hazardous Material Investigation and Report with mitigation

recommendations (if needed) o 404 Alternative Analysis (if needed)

• Cultural Resource Investigation Report and Mitigation Plan. • Final Hydrologic and Hydraulic Report • Final Geotechnical Investigation and Report • Utility letters of agreement • Structural or Bridge Alternatives Report (if needed) • Revised Capacity Reports for sewer, water, storm flow and traffic flow as applies

to project. • 60% Plans

o Survey Control Plan o Plan and Profile o Typical Sections o Project Details o Right-of-way Map o Utility relocations plans and details o Flow Management Plans as needed. o Native Plant Preservation Plan o Other sheet as required by project

• Engineer 60% plan estimate of cost. • Draft Special Provisions and Material Specifications • CIP Ace and variance reports • Project Meeting Minutes and correspondence • Constructability Review Meeting minutes • Review comments and responses.

90% Plan Stage

• Final Capacity Reports for sewer, water, storm flow and traffic flow as applies to project.

• 90% Plans

2

o Survey Control Plan o Plan and Profile o Typical Sections o Project Details o Right-of-way Map o Utility relocations plans and details o Flow Management Plans (as needed). o Landscape and irrigation Plans (as needed) o Native Plant Preservation Plan o Other sheet as required by project

• Engineer 90% plan estimate of cost. • Special Provisions and Specifications • CIP Ace and variance reports • Project Meeting Minutes and correspondence • Review comments and responses

100% Plan Stage

• Owner Provided Project Permits o 404 Permit or NWP (as needed) o Utility Permits (as needed) o Other project specific permits

• Intergovernmental Agreement (IGA) with other jurisdiction and Memorandum of Understanding between Departments (as needed)

• Cultural Resources Monitoring Plan or clearance letter • Real Property clearance letter (as needed)

o Recorded copies of deeds or o Rights-of-entry o Temporary Construction and access Easements

• 90% Plans o Survey Control Plan o Plan and Profile o Typical Sections o Project Details o Right-of-way Map o Utility relocations plans and details o Flow Management Plans (as needed). o Landscape and irrigation Plans (as needed) o Native Plant Preservation Plan o Cross-sections (as needed) o Other sheet as required by project

• Engineer final estimate of cost. • Special Provisions and Specifications • CIP Ace and variance reports • Project Meeting Minutes and correspondence • Review comments and responses

3

Procurement • EEO and MWBE requirements • Project Advertise and Bid schedule • Contract Documents from Pima County Procurement • Notice of Advertising • Bid Tabulation • Award of construction contract

4



LINKS TO RELATED WEBSITES

(This section is under development)